| 20-00892 | 12/14/2022 | Claimant(s): Travis Allen
Claimant Lawyers(s): Sarah Ali Burroughs
Respondent(s): Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | |
| 16-02681 | 06/08/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): James Duncombe
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): A. Joel Klein, Rosa Linda Guadarrama, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
| | |
| 14-03682 | 12/28/2016 | Claimant(s): Kevin Dwyer
Claimant Lawyers(s): Zshonette L. Reed
Respondent(s): Cullen Crabbe, Stephen Kipp, Kipp Financial Group.
Respondent Lawyers(s): Cullen Crabbe, H. Thomas Fehn
Arbitrator(s): Elliott David Finkel, Erik R. Siering, Daniel R. Brush
Hearing Site: Los Angeles, CA
|  | $0 |
| 14-00249 | 03/04/2016 | Claimant(s): McDermott Investment Services
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Marilee Hill, Concorde Investment Services, The Estate of Chester Ju, The Estate of Shirley Jean Ju
Respondent Lawyers(s): Derek Domian, Gerry J. Kowalski, H. Thomas Fehn, Richard J. Rosensweig
Arbitrator(s): Anne Q. Uno, Jane A. Smith, Oliver P. Roche
Hearing Site: Washington, DC
| | |
| 14-00832 | 02/27/2015 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric R. Raphan
Respondent(s): Robert Chan
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Elliott David Finkel, Theresa Y. Hu, Richard A. Stephens
Hearing Site: Los Angeles, CA
| | |
| 10-04075 | 10/04/2012 | Claimant(s): Cheryl Wittmann, Robert Wittmann
Claimant Lawyers(s): D. Waxton White
Respondent(s): Marilee Hill, Steven L. Falk & Associates Inc.
Respondent Lawyers(s): H. Thomas Fehn, Steven L. Falk
Arbitrator(s): Douglas Earl McLaren, Jane F. Moore, Vicky L. Orem
Hearing Site: Baltimore, MD
| | $61,600 |
| 10-02633 | 07/16/2012 | Claimant(s): Alvaro Castro, Patricia Castro, The Castro Family Trust
Claimant Lawyers(s): Irwin Stein, Timothy A. Canning
Respondent(s): Jim Lund, Michelle Langer, Robert Tweed, Capwest Securities.
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): David J. Anderson, Melvin S. Feldman, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | $156,250 |
| 10-02249 | 11/25/2011 | Claimant(s): Karen Trumper, Robert Trumper
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Dale Hall, Jeffrey Pridey, Kathleen Heshelow, Kent Pridey, Lawrence Lambert, Capwest Securities.
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Donald N. Tolin, Helen P. Love, Bruce J. Pederson
Hearing Site: Denver, CO
| | $557,500 |
| 10-01343 | 08/01/2011 | Claimant(s): Beatrice McRae, Buford McRae, Robert Lee, B.E. McRae Family Limited Partnership, Robert Earl Lee Rev Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Capwest Securities.
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Robert L. Chisolm, Richard Frederick Schaufert, James W. Kerr
Hearing Site: Dallas, TX
| | $931,960 |
| 09-06220 | 11/15/2010 | Claimant(s): Earl D. Bolen IRA, Bolen Family Trust
Claimant Lawyers(s): H. Thomas Fehn
Respondent(s): Christopher Price, Morgan Stanley
Respondent Lawyers(s): Gregg Garneau
Arbitrator(s): Elliott David Finkel, Joseph L. Hagan, David Nielsen
Hearing Site: Los Angeles, CA
| | $0 |
