| 11-02468 | 06/16/2014 | Claimant(s): Pauline Allen, Pauline W. Allen Revocable Trust U/A 1/1
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Financial West Group, Edward Wentzheimer, UBS Financial Services Inc., M. Krasny, Marc Adelman, Mark Lewis
Respondent Lawyers(s): Amy B. Bard, Brent A. Burns, Ryan Probstfeld
Arbitrator(s): Michael G. Clark, CathyLyn Rossi, Robert C. Albini
Hearing Site: Los Angeles, CA
|  | Expungement |
| 12-00578 | 10/09/2013 | Claimant(s): PHK Trust
Claimant Lawyers(s): Kamyar R. Shayan
Respondent(s): David Crist, First Allied Securities., Sii Investments.
Respondent Lawyers(s): Jacquelyn Mohr, Jeffrey K. Compton
Arbitrator(s): Carolyn V. Quadt, Christopher J. Rogers, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-06268 | 10/04/2012 | Claimant(s): Richman Bry
Claimant Lawyers(s): Thomas Dressler
Respondent(s): Citigroup Global Markets., Kevin Caputo
Respondent Lawyers(s): Adam Kauff, Sylvia M. Scott
Arbitrator(s): Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-01320 | 09/06/2011 | Claimant(s): Carl Neuss, Carla Neuss, Elaine Neuss, Hitching Rail Investors, One Westheimer Investors, LTD, DBPP, Pacific Venture Associates Inc. DBPP, Pacific Ventures Associates., Alex Neuss UTMA, Carla Neuss UTMA, Rebecca Neuss UTMA, Carl F. Neuss Beneficiary IRA, Carl F. Neuss IRA, Elaine P. Neuss IRA, Pacific Ventures Asso. 401K, Neuss Family Trust, Prairiestone Investment Trust
Claimant Lawyers(s): Martin B. Greenbaum, Michael Hume
Respondent(s): Wells Fargo Investments, John Milia, Michael Gates
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert D. Sussin, Robert C. Albini, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-03343 | 08/31/2011 | Claimant(s): The Becker Family Trust dtd 10/10/98
Claimant Lawyers(s): Robert A. Lisnow
Respondent(s): Andrew Melikidse, Sagepoint Financial.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Martin Mandel, Robert S. Fash, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-04522 | 08/26/2011 | Claimant(s): Rick Cooper, Estate of Lauretta Kupperman, Kupperman Family Limited Partnership
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): Wedbush Securities Inc., Debbie Saleh, Edward Wedbush
Respondent Lawyers(s): Charles LaChaussee, Debbie Michelle Saleh
Arbitrator(s): Howard B. Brown, Linda L. Drummond, Robert C. Albini
Hearing Site: Los Angeles, CA
| | $2,865,880 |
| 11-01712 | 08/23/2011 | Claimant(s): Carl Neuss, Carla Neuss, Elaine Neuss, Hitching Rail Investors, One Westheimer Investors, LTD DBPP, Pacific Venture Associates Inc. DBPP, Pacific Ventures Associates., Pacific Ventures Associates. 401K, Alex Neuss UTMA, Carla Neuss UTMA, Rebecca Neuss UTMA, Carl F. Neuss Beneficiary IRA, Carl F. Neuss IRA, Elaine P. Neuss IRA, Neuss Family Trust, Prairiestone Investment Trust
Claimant Lawyers(s): Martin B. Greenbaum
Respondent(s): John Evans
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert D. Sussin, Robert C. Albini, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-06555 | 02/14/2011 | Claimant(s): Robert N. Stephens Living Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): UnionBanc Investment Services
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Richard M. Norman, Robert C. Albini, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-01371 | 12/23/2010 | Claimant(s): MF Global Inc.
Claimant Lawyers(s): John W. Cotton
Respondent(s): Sohan Dua
Respondent Lawyers(s): Montgomery G. Griffin
Arbitrator(s): Milton N. Gross, Robert C. Albini, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | $0 |
| 08-03838 | 03/25/2010 | Claimant(s): Joann Laskin
Claimant Lawyers(s): David N. Lake
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Nikole J. Crosby
Arbitrator(s): Susan B. Gans-Smith, Ronald F. Rybandt, Robert C. Albini
Hearing Site: Los Angeles, CA
| | $0 |
