FINRA Awards for Carla Neuss UTMA

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
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
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