| 16-03686 | 07/31/2018 | Claimant(s): Claire Scalzo, Louis Scalzo, Louis Scalzo Family Marital DED Trust, Scalzo Family Bypass Trust, Scalzo Survivors Trust
Claimant Lawyers(s): Jeffrey Pederson, Richard A. Nervig
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): David H. S. Commins, George King, Val D. Hornstein
Hearing Site: San Francisco, CA
|  | Expungement |
| 13-01837 | 01/02/2015 | Claimant(s): Belva Jeanne Shultz Revocable Trust, Karen K. Fry, Atty in Fact
Claimant Lawyers(s): Richard A. Nervig
Respondent(s): John Thornes, Thornes & Associates. Invest Sec
Respondent Lawyers(s): John Thomas Thornes, Stephen M. Oliveira
Arbitrator(s): Michael G. Clark, Benjamin F. Breslauer, Michael John Florio
Hearing Site: Los Angeles, CA
| | $4,525,120 |
| 10-04494 | 10/07/2011 | Claimant(s): Gene Hedlund, Janice Hedlund, Odyssey 2000-Friar's Branch Crossing, Gene A. Hedlund IRA, Janice M. Hedlund IRA, Odyssey 2000 Rev Trust dtd 8/14/1989
Claimant Lawyers(s): A. Thomas Tenenbaum, Richard A. Nervig
Respondent(s): John Lauer, Waveland Capital Partners LLC
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Sidney Jacobsen, Guenter S. Cohn, Katherine Jane Morris
Hearing Site: San Diego, CA
| | $0 |
| 10-02838 | 09/14/2011 | Claimant(s): Darrell Linder, Virginia Cooley-Linder, Cooley-Linder Retail Property, Cooley-Linder's French Quarter, Virginia C. Linder & Darrell F. Linder L
Claimant Lawyers(s): A. Thomas Tenenbaum, Richard A. Nervig
Respondent(s): Larry Behrends, Capwest Securities, Workman Securities Corporation
Respondent Lawyers(s): Christopher P. Parrington, Larry I. Behrends, Orly Davidi
Arbitrator(s): Timothy E. Taggart, Avery B. Goodman, William Louis Anthes
Hearing Site: Denver, CO
| | $854,639 |
| 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 |
| 09-00755 | 04/09/2010 | Claimant(s): Gene Gasselle
Claimant Lawyers(s): Richard A. Nervig
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Schulze
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Judith A. Gust, Cynthia B. Stone, John Scott Carter
Hearing Site: San Diego, CA
| | $0 |
| 08-00738 | 04/23/2009 | Claimant(s): Bruno Schmidt, Carol Schmidt, Lawrence Casey, Noel Vitug, Rose Vitug, Lawrence Donald Casey IRA, Jr. IRA, Bruno Schmidt & Carol Anne Schmidt
Claimant Lawyers(s): Richard A. Nervig
Respondent(s): Adolf Kohn, Charles Helfrich, Irene Gerold, John Winnick, I.C.R. Financial Center
Respondent Lawyers(s): Adolf F. Kohn, Adolf Kohn, Charles J. Helfrich, Irene Maria Gerold, John F. Winnick
Arbitrator(s): Mandel E. Himelstein, Mary Elizabeth Geerdes, James B. Guillou
Hearing Site: San Diego, CA
| | $423,740 |
