| 11-02874 | 12/17/2012 | Claimant(s): Donna Berry
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Jeffrey E. Skogsbergh, Elliott David Finkel, Herbert Murez
Hearing Site: Los Angeles, CA
|  | Expungement |
| 09-04874 | 11/15/2012 | Claimant(s): Henry Tutek
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Malcolm J. Irving, Michael E. Scullin, Harold Yaskin
Hearing Site: Philadelphia, PA
| | $0 |
| 09-04321 | 09/24/2012 | Claimant(s): Christine Monahan, Mark Babb, Michael Monahan
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): H. Beck.
Respondent Lawyers(s): Lisa A. Nielsen
Arbitrator(s): Robert A. Vogler, Benjamin A. Kerner, Earlene R. Baggett-Hayes
Hearing Site: Detroit, MI
| | $400,000 |
| 10-05780 | 06/06/2012 | Claimant(s): The Heater Family Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): William M. Turner
Arbitrator(s): William E. Schneider, Ronald F. Rybandt, Brent J. Rosenbaum
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04587 | 03/19/2012 | Claimant(s): Darlene Peterson, Karen Labuda, Sherry Leach-Warth
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Sandra L. Malek, Laurent C. Vonderweidt, Ronald F. Rybandt
Hearing Site: Los Angeles, CA
| | $1,403,500 |
| 11-01895 | 12/28/2011 | Claimant(s): Eric Broili
Claimant Lawyers(s): Robert T. Sullwold
Respondent(s): Andrew Crowell, The Andrew N. Crowell Family Trust
Respondent Lawyers(s): Bruce D. Oakes
Arbitrator(s): Nancy Hutt, Michael R.E. Sanders, Leonard Jeffrey Stecklow
Hearing Site: Reno, NV
| | Expungement |
| 09-03946 | 08/25/2011 | Claimant(s): Pamela Koprowski
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): H. Beck.
Respondent Lawyers(s): Molly R. Batsch
Arbitrator(s): Thomas J. Ray, Joan M. Esserman, David Brian Cohen
Hearing Site: St. Louis, MO
| | $0 |
| 09-02264 | 07/22/2011 | Claimant(s): Smith, Moore & Co.
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael P. Manley
Arbitrator(s): Frederick Michael Switzer, James M. Stern, David A. Fingerhut
Hearing Site: St. Louis, MO
| | |
| 09-03967 | 06/27/2011 | Claimant(s): Donald Burwell, Marjorie Burwell
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Kenneth A. Bravo
Arbitrator(s): Frank C. Fogl, James Dale Ellis, Mark L. Ferris
Hearing Site: Cleveland, OH
| | Expungement |
| 10-01040 | 04/25/2011 | Claimant(s): Demetrios Kamaris, Toni Kamaris
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Donald Whiteman, Charles F. Custer, Thomas F. Mahoney
Hearing Site: Chicago, IL
| | $153,000 |
