| 11-00556 | 01/09/2013 | Claimant(s): Hooman Moshar, May Moshar
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Donald S. Simons, Joel D. Davidman, Brent J. Rosenbaum
Hearing Site: Los Angeles, CA
|  | $1,333,930 |
| 09-01436 | 12/01/2010 | Claimant(s): James Jones, Lillie Jones
Claimant Lawyers(s): Casey W. Jones
Respondent(s): Dennis Beeby, Jay Potter, Michael McIntyre, Reid Scofield, Nexcore Capital.
Respondent Lawyers(s): R. Craig Zafis, Reid D. Scofield
Arbitrator(s): Robert W. Vernon, Donald S. Simons, Robert P. Clifford
Hearing Site: Los Angeles, CA
| | $15,600 |
| 08-04912 | 08/19/2010 | Claimant(s): Alan Schildhorn, David LaVance, Erin Koury, Grady Hunt, Howard McNeil, Jeffrey Koury, Martha LaVance, NFS/FMTC Rollover IRA FBO Howard & Donna
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ellyn McColgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, Ted Nelson, FMR Corporation
Respondent Lawyers(s): Brian J. Ellis, H Thomas Fehn, Kevin J. Woods, Tracy L. Gerber
Arbitrator(s): John B. Wells, Donald S. Simons, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 09-01221 | 03/17/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): James Phillips
Respondent Lawyers(s): Richard Sacks
Arbitrator(s): Donald S. Simons, W. Alex King, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | |
| 03-00505 | 01/22/2008 | Claimant(s): Jan Green
Claimant Lawyers(s): Jan Green
Respondent(s): Richard Nickles, R. Nickles & Company
Respondent Lawyers(s): Gayle L. Wilder
Arbitrator(s): Daphne D. Duverney, Donald S. Simons, Robert Rosen
Hearing Site: Los Angeles, CA
| | $0 |
| 04-08605 | 12/10/2007 | Claimant(s): James Murray
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jodi S. Cohen
Arbitrator(s): Stephen Brixey, Donald S. Simons, Mario H. Metzger
Hearing Site: Los Angeles, CA
| | |
| 05-06450 | 12/07/2007 | Claimant(s): Ronald Goldman
Claimant Lawyers(s): William R. Lindsley
Respondent(s): Wachovia Securities, Terry Chase
Respondent Lawyers(s): G. Thomas Fleming, Sheryl Skibbie
Arbitrator(s): Donald S. Simons, Robert S. Fash, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
