| 11-00986 | 12/21/2012 | Claimant(s): Mansour Matloob, Mansour Matloob Trust dtd 10/08/2002
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): John Marshall, RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Ralph B. Perry, Peter J Cohen, Gregory Douglas Stone
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-03064 | 06/28/2012 | Claimant(s): Karen Stallard, Lambert Stallard
Claimant Lawyers(s): Jan Graham
Respondent(s): Jackie Wadsworth, Richard Childs, IMS Securities.
Respondent Lawyers(s): Casey W. Jones
Arbitrator(s): Ralph B. Perry
Hearing Site: Las Vegas, NV
| | Expungement |
| 09-07185 | 07/07/2011 | Claimant(s): Paul Oshideri
Claimant Lawyers(s): Paul Oshideri
Respondent(s): Frank Sanchez, Lawrence Goodkind, Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Philip W. Burge, James H. Frank, Ralph B. Perry
Hearing Site: Los Angeles, CA
| | $0 |
| 10-01168 | 01/19/2011 | Claimant(s): Robert Reynolds, Susan Pitsch Reynolds, The 403-B Plan FBO Susan H. Pitch-Reynol, The Reynolds Living Trust U/A 6/14/03
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Ralph B. Perry, Mary M. O'Neil, Christopher William Shaw
Hearing Site: Los Angeles, CA
| | Expungement |
| 08-03820 | 07/10/2009 | Claimant(s): Yui Law
Claimant Lawyers(s): Yui W Law
Respondent(s): Wells Fargo Investments, Elliot Chang
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Ralph B. Perry
Hearing Site: Los Angeles, CA
| | $0 |
| 08-04339 | 06/04/2009 | Claimant(s): Darria Kosich
Claimant Lawyers(s): Darria Elizabeth Kosich
Respondent(s): Wachovia Securities, David Neison
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Ralph B. Perry
Hearing Site: Los Angeles, CA
| | $0 |
| 06-04161 | 11/15/2007 | Claimant(s): May Slover
Claimant Lawyers(s): Michael A. Dias
Respondent(s): Bryan Farris, Detroy Womack, Raymond James Financial Services., Richard McDowell, Timothy Lacey
Respondent Lawyers(s): Bryan D. Farris, Kelli Bullington, Richard S. McDowell
Arbitrator(s): Frederick N. Bailard, Ralph B. Perry, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | $8,300 |
