| 10-04760 | 01/03/2014 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Timothy N Will
Respondent(s): Ronald Betten
Respondent Lawyers(s): Steven L. Miller
Arbitrator(s): Alan Stamm, Ronald L. Cameron, Larry Haugaard
Hearing Site: Los Angeles, CA
| | |
| 11-01582 | 08/06/2012 | Claimant(s): Shirley Edwards
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): R.W. Towt & Associates
Respondent Lawyers(s): Raymond Prazen
Arbitrator(s): Larry Haugaard, Thomas A. Culbertson, Robert Rosen
Hearing Site: Los Angeles, CA
|  | $135,000 |
| 11-01487 | 06/28/2012 | Claimant(s): Jason Lowther
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Larry Haugaard, Donald A. Duncan, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | |
| 10-01116 | 11/14/2011 | Claimant(s): Michael Di Pietro
Claimant Lawyers(s): Marie C. Mirch
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeffrey Compton
Arbitrator(s): Kenneth E. Owen, Larry Haugaard, Morris S. Getzels
Hearing Site: Los Angeles, CA
| | |
| 10-03046 | 08/30/2011 | Claimant(s): Jason Coles
Claimant Lawyers(s): Christine A. Page
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Larry Haugaard, Neil S. Jasper, Steven A. Wawra
Hearing Site: Los Angeles, CA
| | |
| 10-02691 | 02/15/2011 | Claimant(s): Ellen Feduniw, Estate of Edward J. Feduniw, The Feduniw Family Trust of 2005 UDT dtd
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Crowell, Weedon & Co.
Respondent Lawyers(s): Kasumi Takahashi
Arbitrator(s): Alan Stamm, Larry Haugaard, Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-00088 | 07/15/2010 | Claimant(s): Jeanette Andreas, Joel Andreas
Claimant Lawyers(s): James A. Sigler
Respondent(s): Charles Schwab & Co.., William Read
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Larry Edmonson, Larry Haugaard, Robert Rosen
Hearing Site: Los Angeles, CA
| | Expungement |
| 06-03416 | 08/17/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Alan Wise
Respondent Lawyers(s): Alan K. Wise
Arbitrator(s): Larry Haugaard, James P. Murphy, Ivan Claman
Hearing Site: Los Angeles, CA
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