12-01501 | 05/29/2013 | Claimant(s): Stan Dreyfuss Claimant Lawyers(s): Leonard Steiner Respondent(s): RBC Capital Markets LLC, RBC Capital Markets Corporation, RBC Dain Rauscher. Respondent Lawyers(s): Linda Claxton Arbitrator(s): James R. Duncan, Elliott Zachary Seff, Robert F. Saint-Aubin Hearing Site: Los Angeles, CA
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12-03991 | 05/02/2013 | Claimant(s): U.S. Bancorp Investments. Claimant Lawyers(s): Gregory O. Eisenreich Respondent(s): Fariba Madison Respondent Lawyers(s): Greg Sherwin Arbitrator(s): Norman Cousins Sasamori, Robert F. Saint-Aubin, Richard Lee Fausett Hearing Site: Los Angeles, CA
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12-03501 | 04/19/2013 | Claimant(s): Heather Molin Claimant Lawyers(s): Edward Zusman Respondent(s): Patrick Collins Respondent Lawyers(s): Salvador M. Hernandez Arbitrator(s): Robert F. Saint-Aubin Hearing Site: Los Angeles, CA
| | Expungement |
11-04125 | 11/20/2012 | Claimant(s): Matt Correia, Dapelo & Correia Capital Investors Claimant Lawyers(s): Matt Correia Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): Robert W. Topp Arbitrator(s): Alan Stamm, Theodore G. Bradpiece, Robert F. Saint-Aubin Hearing Site: Los Angeles, CA
| | $0 |
11-00517 | 08/17/2012 | Claimant(s): David Olson Claimant Lawyers(s): Scott R. Shewan Respondent(s): Thomas Fife, Associated Securities Corp. Respondent Lawyers(s): David S. Markun Arbitrator(s): Benjamin F. Breslauer, Robert F. Saint-Aubin, Alfred S. Samulon Hearing Site: Los Angeles, CA
| | Expungement |
11-00453 | 06/04/2012 | Claimant(s): Marvin Antonowsky, Marvin Antonowsky IRA, Antonowsky 1984 Trust UAD 03/23/1989 Claimant Lawyers(s): Jonathan W. Evans Respondent(s): E*Trade Securities LLC, Li-Wei Chang Respondent Lawyers(s): Stephen Young Arbitrator(s): Barbara M. Zak, Arthur F. Brueggeman, Robert F. Saint-Aubin Hearing Site: Los Angeles, CA
| | Expungement |
11-01909 | 05/25/2012 | Claimant(s): Rose Kramer, Stanley Kramer, DRG Hendersonville TIC 13 LLC, TIC Ren Meadowlands 31, Mayer & Rose Kramer Inter Vivos Trst Ame, Mayer & Rose Kramer Inter Vivos Trust Claimant Lawyers(s): Jonah A. Toleno Respondent(s): Amy Grindstaff, Dale Hall, David Smith, Jeffrey Pridey, Kathleen Heshelow, Larry Behrends, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities., MAM Securities Respondent Lawyers(s): Corporate Officer, David L. Smith, H Thomas Fehn, Keith E. Grindstaff, Larry Ivan Behrends, Robert C. Rosen Arbitrator(s): Vincent J. Natoli, Robert F. Saint-Aubin, W. Alex King Hearing Site: Los Angeles, CA
| | $334,000 |
10-02276 | 07/07/2011 | Claimant(s): Robert Ralston, Susan Ralston Claimant Lawyers(s): Martin B. Greenbaum, Ronald E. Miller Respondent(s): Paul Heckler Respondent Lawyers(s): Sylvia M. Scott Arbitrator(s): George H. Casey, Robert F. Saint-Aubin, Joseph A Newcomb Hearing Site: Los Angeles, CA
| | $200,000 |
10-03809 | 05/03/2011 | Claimant(s): Richard Brownstein Claimant Lawyers(s): Richard J. Brownstein Respondent(s): U.S. Bancorp Investments. Respondent Lawyers(s): Jill Y. Coen Arbitrator(s): Robert F. Saint-Aubin Hearing Site: Los Angeles, CA
| | $9,357 |
10-02854 | 02/25/2011 | Claimant(s): Lisa Detanna Claimant Lawyers(s): Scott E. Rahn Respondent(s): Margaret Smith Respondent Lawyers(s): Harold Ducote Arbitrator(s): Robert F. Saint-Aubin Hearing Site: Los Angeles, CA
| | Expungement |