| 10-04296 | 12/23/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Bryan Clark
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
| | |
| 10-02527 | 06/11/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Goldberg
Respondent(s): George Sinanis
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Gerald C. Tambe, Mary Margaret Bush, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | |
| 09-00822 | 06/22/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Steven Pompan
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Richard J. Stall, Marc S. Joseph, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | |
| 08-02931 | 04/27/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Rumy Lopez
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): David Maurer, Carol Jeanne Medof, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
| | |
| 07-02304 | 03/20/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): David H.S. Commins
Respondent(s): Gregory Iglow
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Christine A. Page, Cynthia Ann Higgins, Christopher J. Rogers
Hearing Site: Los Angeles, CA
| | |
| 04-08780 | 10/02/2007 | Claimant(s): Genevieve Dusing
Claimant Lawyers(s): Wild Chang
Respondent(s): Darren Tolan, WAMU Investments.
Respondent Lawyers(s): Darren R. Tolan, Gregory J. Sherwin
Arbitrator(s): Robert S. Fash, Clyde Kenan Oldham, Frederick N. Bailard
Hearing Site: Los Angeles, CA
|  | $373,300 |
