| 12-00289 | 02/06/2013 | Claimant(s): Alison Kaylor
Claimant Lawyers(s): Alison Jane Kaylor
Respondent(s): Chase Investment Services Corp., Ryan Bible
Respondent Lawyers(s): Matthew T. Wholey
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
|  | $213 |
| 11-02065 | 09/04/2012 | Claimant(s): William Brown
Claimant Lawyers(s): William E. Brown
Respondent(s): Dave Osborn, TD Ameritrade., Ken Sitnick, Watts Ha, RNC Center Capital Management
Respondent Lawyers(s): Compliance Officer, Dave Osborn, Hollie S. Mason
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | $213 |
| 11-02505 | 05/24/2012 | Claimant(s): Barbara Roberts, Joe Roberts, Joe D. Roberts IRA
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Colleen A. Hankins, Judy Louie
Arbitrator(s): Joseph C. Watson, Robert Allan Klein, Cynthia Ruth Saffir
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-03784 | 01/19/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Eleonora Grinshteyn
Respondent(s): Michael Mildon
Respondent Lawyers(s): Michael Joseph Mildon
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | |
| 10-00012 | 12/31/2010 | Claimant(s): Josephine Wayman
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Securities America., Randall Talbott
Respondent Lawyers(s): Bruce M. Bettigole, Bryan M. Ward
Arbitrator(s): Joseph C. Watson, Joel D. Davidman, W. Alex King
Hearing Site: Los Angeles, CA
| | $1,155,470 |
| 09-01102 | 12/02/2010 | Claimant(s): Linden Pasadena Properties
Claimant Lawyers(s): Jared R.B. Hutton
Respondent(s): Citigroup Global Markets., Susan Mamer
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Robert J. Ruben, Anna Marie Turco, Joseph C. Watson
Hearing Site: Los Angeles, CA
| | $0 |
| 09-00609 | 11/29/2010 | Claimant(s): Moshe Shram
Claimant Lawyers(s): Jonathan Schwartz
Respondent(s): IDB Capital Corp.
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Barbara M. Zak, Joseph C. Watson, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | $0 |
| 08-01875 | 11/02/2009 | Claimant(s): Patricia A. Meyer Survivors Trust, Robert H. Meyer Family Trust
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Joseph C. Watson, Harris J. Howard, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | $0 |
| 08-02768 | 08/11/2009 | Claimant(s): Mark Rossel
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patricia Tsipras
Arbitrator(s): Joyce L. Hurley, Joseph C. Watson, Russell T. Doe
Hearing Site: Los Angeles, CA
| | |
| 08-03125 | 05/22/2009 | Claimant(s): Joel W. Carter, IRA, Louise Carter, TTEE for Carter Family
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | $5,825 |
