| 10-00631 | 11/23/2010 | Claimant(s): Thomas Trax
Claimant Lawyers(s): Jeffrey S. Kob
Respondent(s): Westfin Securities Corporation
Respondent Lawyers(s): Stephen M. Locko
Arbitrator(s): Franklin G. Allen, Patricia Mary Reilly, Jerome M. Libenson
Hearing Site: San Diego, CA
| | |
| 09-05381 | 09/29/2010 | Claimant(s): Iris Berger, Iris Victor Trust DTD 8/16/91
Claimant Lawyers(s): Richard A. Nervig
Respondent(s): Donahue Jones, Ralph Schneider, Okoboji Financial Services.
Respondent Lawyers(s): Donahue Edwin Jones, Ralph Roberts Schneider, Ralph Stacey Schneider
Arbitrator(s): Jerome M. Libenson, Kenneth Andrew Klinko, Richard E. Mueller
Hearing Site: San Diego, CA
|  | $359,590 |
| 07-03391 | 11/17/2009 | Claimant(s): Dawn Maywood, Sami Maywood
Claimant Lawyers(s): Vincent D. Slavens
Respondent(s): Michael Berteletti, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Michael Bertel, Paul J. Schumacher
Arbitrator(s): Jerome M. Libenson, Houston Allen Goddard, John Scott Carter
Hearing Site: San Diego, CA
| | Stipulated Award and Expungement |
| 08-01033 | 02/10/2009 | Claimant(s): Karen Schneiderman, IRA, Robert Schneiderman, Schneiderman Trust UAD 05/22/91
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Harvey C. Flodin, Jerome M. Libenson, Edward Anthony Reguero
Hearing Site: San Diego, CA
| | $125,000 |
