| 11-01909 | 05/25/2012 | Claimant(s): Rose Kramer, Stanley Kramer, DRG Hendersonville TIC 13 LLC, TIC Ren Meadowlands 31, Mayer & Rose Kramer Inter Vivos Trst Ame, Mayer & Rose Kramer Inter Vivos Trust
Claimant Lawyers(s): Jonah A. Toleno
Respondent(s): Amy Grindstaff, Dale Hall, David Smith, Jeffrey Pridey, Kathleen Heshelow, Larry Behrends, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities., MAM Securities
Respondent Lawyers(s): Corporate Officer, David L. Smith, H Thomas Fehn, Keith E. Grindstaff, Larry Ivan Behrends, Robert C. Rosen
Arbitrator(s): Vincent J. Natoli, Robert F. Saint-Aubin, W. Alex King
Hearing Site: Los Angeles, CA
|  | $334,000 |
| 10-01149 | 06/10/2011 | Claimant(s): Ellen Brown
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Neuberger Berman LLC
Respondent Lawyers(s): Mitchell Albert, Tara A. LaClair
Arbitrator(s): Herbert Leslie Greenberg, Vincent J. Natoli, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | $0 |
| 08-02014 | 10/15/2010 | Claimant(s): Sean Greene
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Dennis Devaney, United Capital Asset Management, United Capital Markets.
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Chester L. Firestein, Vincent J. Natoli, Marvin B. Karelitz
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-00405 | 01/29/2010 | Claimant(s): J. Benefield, Mary Benefield, The Benefield Family Trust
Claimant Lawyers(s): Martin B. Greenbaum, Ron Miller
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Vincent J. Natoli, Ronald F. Rybandt, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | $366,840 |
| 08-00294 | 02/23/2009 | Claimant(s): Richard Rovnick, Robert Kotler, Robert Lubar, Ronald Sheldon, Sidney Oko, Drs. Adilman,Katin,Lubar Ltd. Profit Shr, M.D.. Profit Sharing, Ronald Sheldon Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Andrew Shapiro, Donald Hunter, Edward Taylor, Gregory Martino, Michael Baker, Westrock Advisors.
Respondent Lawyers(s): Robert a. Giacovas
Arbitrator(s): Vincent J. Natoli, Michael M. Hachigian, Troy C. Sumrall
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 05-02000 | 12/21/2007 | Claimant(s): Lewis Worms, Lewis E. and Corrine I. Worms Trust
Claimant Lawyers(s): Stephen H. Marcus
Respondent(s): J.P. Turner & Company
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Carolyn V. Quadt, Vincent J. Natoli, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
