| 10-03270 | 10/19/2011 | Claimant(s): Swedelson & Gottlieb Cash Balance Plan
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): Mitchell Pindus, RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Audrey H. Ruben, Catherine M. O'Brien, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
|  | $10,000 |
| 10-01876 | 08/08/2011 | Claimant(s): Lehman Brothers Holdings.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Bryon Botsford
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Susan B. Gans-Smith
Hearing Site: San Francisco, CA
| | |
| 09-05799 | 10/13/2010 | Claimant(s): Ilyse Klavir
Claimant Lawyers(s): David Harrison
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): John E. Ohashi, Catherine M. O'Brien, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | $0 |
| 09-06009 | 04/08/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey F. Manzella
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | |
| 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 |
| 08-03148 | 02/10/2010 | Claimant(s): Igor Zey
Claimant Lawyers(s): James Hubbard
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Alexander
Arbitrator(s): James P. Murphy, Laurent C. Vonderweidt, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | |
| 07-02044 | 05/27/2009 | Claimant(s): Illan Kim, Jin Cha, Jun Kwon, Sang Kim, Paper Design Clothing., Chong Cha SEP IRA, Charles and Sara Cho, Jin O. Cha and Illan Kim, Terry and Chong M. Cha, Won P. Yim and Chong S. Yim
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): E1 Asset Management.
Respondent Lawyers(s): Edward J. Boyle
Arbitrator(s): James P. Murphy, Susan B. Gans-Smith, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $2,702,600 |
| 07-01196 | 03/20/2009 | Claimant(s): Gary Neiens
Claimant Lawyers(s): Maureen J. Duris
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Susan B. Gans-Smith, Ronald E. Malmfeldt, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | |
| 07-01487 | 08/04/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Arthur Castro
Respondent Lawyers(s): David L. Casterline
Arbitrator(s): Bert Levy, Basil Lewis, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | |
| 06-04380 | 10/03/2007 | Claimant(s): Charlotte Lowe, Patrick Lowe
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Gerald A. Koris, Dawn M. Kirchner, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | |
