| 10-02986 | 01/19/2011 | Claimant(s): Mary Cascio
Claimant Lawyers(s): Mary P. Cascio
Respondent(s): Eric Bond, National Planning Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
|  | $4,720 |
| 10-00565 | 09/14/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Christopher Benedict
Respondent Lawyers(s): Christopher N. Benedict
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | |
| 09-03243 | 05/12/2010 | Claimant(s): Q Investments Limited Partnership
Claimant Lawyers(s): Philip Aurbach
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Las Vegas, NV
| | $117,630 |
| 09-04235 | 11/24/2009 | Claimant(s): Damon Dozier
Claimant Lawyers(s): John Caldwell
Respondent(s): Mark Rhynes
Respondent Lawyers(s): Mark Herman Rhynes
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | |
| 08-04024 | 11/19/2009 | Claimant(s): R.A. Hamerly A.I.A Architect.
Claimant Lawyers(s): Randall A. Hamerly
Respondent(s): Sherman Niamehr, New Castle Financial Services LLC
Respondent Lawyers(s): Brett D. Zinner, Sherman Jason Niamehr
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $0 |
| 08-03213 | 06/05/2009 | Claimant(s): Randal Brown, Randal B. Brown IRA Rollover, The Randal Brown Trust U/A DTD 01/25/199
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $0 |
| 08-00989 | 10/07/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A. Karoly
Respondent(s): Yossi Gabay
Respondent Lawyers(s): Yossi Gabay
Arbitrator(s): Kathryn L. Krebs, Martin Perlberger, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $0 |
