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    • G. Thomas Fleming III

    See more on G. Thomas Fleming III

    Partner
    Jones, Bell, Abbott, Fleming & Fitzgerald LLP

    601 S Figueroa St 27FL
    Los Angeles , CA 90017
    Email: tfleming@jonesbell.com


    Verdicts & Settlements
    Case Name Topic Role Published
    Ronnie Harper, individually and as trustee of the Ronnie Benny Harper Revocable Living Trust DTD 10/31/2002 v. Regal Advisory Services Inc. Securities Respondent Sep. 1, 2017
    Burton D. Schnierow on behalf of his IRA and as trustee of the Burton D. Schnierow Trust U/A 10/29/91 v. Unionbanc Investment Services, LLC Contracts Respondent Jun. 4, 2016
    Margaret Farwell Smith, individually and as Trustee of the Margaret Farwell Smith 2007 Trust UAD 10/02/07 and the Margaret Farwell Smith CRUT Trust dtd 5/15/07 v. Centaurus Financial Inc., Fera Shivaee Securities Respondent Sep. 5, 2015
    Karen K. Fry and Sally A. Baker, as Successor Co-Trustees of the Belva Jeanne Shultz Revocable Trust and Karen K. Fry as Attorney in Fact for Belva Jeanne Shultz v. First Clearing, LLC; James Neal McCallum; RBC Capital Markets, LLC; Thornes & Associates, Inc. Investment Securities; and John Thomas Thornes Securities Respondent Feb. 7, 2015
    Susi Orlean Bahat Family Trust v. Unionbanc Investment Services LLC Securities Respondent Sep. 20, 2014
    Justin Todd Miller v. Union Bank N.A., UnionBanc Investment Services LLC Securities Respondent Aug. 23, 2014
    Larry B. Feinberg, Juliet C. Feinberg v. Royal Alliance Associates Inc. Securities Respondent Sep. 7, 2013
    Alex Binai v. Royal Alliance Associates Inc. Securities Respondent Aug. 3, 2013
    Eliseo Alatorre v. Unionbanc Investment Services LLC Securities Respondent Apr. 6, 2013
    Carl F. Neuss, et al. v. Wells Fargo Investments, LLC, et al. Torts Respondent Jun. 23, 2012
    Claire F. Goldsmith Living Trust, Claire F. Goldsmith v. Sagepoint Financial Inc., Gary William Vanden Busch Securities Respondent Jun. 9, 2012
    Lyle W. Swenson Jr., Michelle Swenson v. Wachovia Securities, LLC n/k/a Wells Fargo, Advisors, LLC, Craig Alan Riley Securities Respondent Feb. 25, 2012
    Michael Rocco and Christiane Rocco v. Paul Robert Beck, Seidler Holdings Inc., The Seidler Companies Inc., Crowell, Weedon & Co., Debra Marcy Reda-Cappos, Western International Securities Inc. Securities Respondent Jan. 28, 2012
    Kurt Bochner, individually and on behalf of Bochner Oakwood Plaza LLC and K.B. Trust LLC v. Kenneth Ray McDonald, Crown Capital Securities L.P. Securities Respondent Oct. 1, 2011
    Vickie Tedesco Parrish, individually and as Trustee of the EB and Vickie Tedesco Family Trust v. Jon Leif Erickson, Patricia Michelle Fontan-Sorlie, Wells Fargo Investments, LLC Securities Respondent Oct. 1, 2011
    The Brown Revocable Living Trust, Pamela Joy Brown v. Wells Fargo Investments LLC, Patrick Darin Vance Securities Respondent Oct. 1, 2011
    David N. Harvey and Sharon L. Harvey, Individually and as Trustees for the Harvey Family Trust Dated 08/30/06 v. Wells Fargo investments LLC, Wells Fargo Bank NA, Matthew Medeiros Securities Respondent May 7, 2011
    Robert N. Stephens Living Trust v. UnionBanc Investment Services LLC Securities Respondent Mar. 26, 2011
    Dominic V. Annino, individually and as Trustee of the Dominic V. Annino Trust U/A DTD 12/18/1992 aka DVA Family Trust; and Suzanne Mahoney, as Trustee of Dominic V. Annino Trust U/A DTD 12/18/1992 aka DVA Family Trust v. Wells Fargo Investments LLC, Kennon R. Klein Securities Respondent Jan. 15, 2011
    Frank R. Lopez, individually and as Trustee to the Frank R. Lopez Living Trust, dtd Sept. 27, 2007 v. Wells Fargo Investments, LLC Contracts Respondent Feb. 20, 2010
    Sterling Casualty Insurance Company, H&H Agency Inc., D&H Claims Services Inc. v. Bear Stearns & Co. Inc. nka J.P. Morgan Securities Inc., CIBC World Markets Corp., Wachovia Securities LLC, Oppenheimer & Co. Inc., Michael Horaney Securities Respondent Jan. 24, 2009
    Rindy Merrifield TTEE of the Rindy Merrifield Inc., Defined Benefit Plan FBO Rindy Merrifield DTD 1/1/00 v. Mutual Service Corporation, Michael T. Woods Contracts Respondent Mar. 15, 2008
    Dennis M. Nigro, The Dennis M. Nigro Trust, The Dennis & Brenda M. Nigro Living Trust and Dennis M. Nigro, MD, Inc. v. Mutual Service Corporation, Charles W. Leitzke, Leonard G. Voisen, and Michael E. Poston Securities Respondent Mar. 31, 2007
    Case Name Topic Role Published
    Ronnie Harper, individually and as trustee of the Ronnie Benny Harper Revocable Living Trust DTD 10/31/2002 v. Regal Advisory Services Inc. Securities Respondent Sep. 1, 2017
    Burton D. Schnierow on behalf of his IRA and as trustee of the Burton D. Schnierow Trust U/A 10/29/91 v. Unionbanc Investment Services, LLC Contracts Respondent Jun. 4, 2016
    Margaret Farwell Smith, individually and as Trustee of the Margaret Farwell Smith 2007 Trust UAD 10/02/07 and the Margaret Farwell Smith CRUT Trust dtd 5/15/07 v. Centaurus Financial Inc., Fera Shivaee Securities Respondent Sep. 5, 2015
    Karen K. Fry and Sally A. Baker, as Successor Co-Trustees of the Belva Jeanne Shultz Revocable Trust and Karen K. Fry as Attorney in Fact for Belva Jeanne Shultz v. First Clearing, LLC; James Neal McCallum; RBC Capital Markets, LLC; Thornes & Associates, Inc. Investment Securities; and John Thomas Thornes Securities Respondent Feb. 7, 2015
    Susi Orlean Bahat Family Trust v. Unionbanc Investment Services LLC Securities Respondent Sep. 20, 2014
    Justin Todd Miller v. Union Bank N.A., UnionBanc Investment Services LLC Securities Respondent Aug. 23, 2014
    Larry B. Feinberg, Juliet C. Feinberg v. Royal Alliance Associates Inc. Securities Respondent Sep. 7, 2013
    Alex Binai v. Royal Alliance Associates Inc. Securities Respondent Aug. 3, 2013
    Eliseo Alatorre v. Unionbanc Investment Services LLC Securities Respondent Apr. 6, 2013
    Carl F. Neuss, et al. v. Wells Fargo Investments, LLC, et al. Torts Respondent Jun. 23, 2012
    Claire F. Goldsmith Living Trust, Claire F. Goldsmith v. Sagepoint Financial Inc., Gary William Vanden Busch Securities Respondent Jun. 9, 2012
    Lyle W. Swenson Jr., Michelle Swenson v. Wachovia Securities, LLC n/k/a Wells Fargo, Advisors, LLC, Craig Alan Riley Securities Respondent Feb. 25, 2012
    Michael Rocco and Christiane Rocco v. Paul Robert Beck, Seidler Holdings Inc., The Seidler Companies Inc., Crowell, Weedon & Co., Debra Marcy Reda-Cappos, Western International Securities Inc. Securities Respondent Jan. 28, 2012
    Kurt Bochner, individually and on behalf of Bochner Oakwood Plaza LLC and K.B. Trust LLC v. Kenneth Ray McDonald, Crown Capital Securities L.P. Securities Respondent Oct. 1, 2011
    Vickie Tedesco Parrish, individually and as Trustee of the EB and Vickie Tedesco Family Trust v. Jon Leif Erickson, Patricia Michelle Fontan-Sorlie, Wells Fargo Investments, LLC Securities Respondent Oct. 1, 2011
    The Brown Revocable Living Trust, Pamela Joy Brown v. Wells Fargo Investments LLC, Patrick Darin Vance Securities Respondent Oct. 1, 2011
    David N. Harvey and Sharon L. Harvey, Individually and as Trustees for the Harvey Family Trust Dated 08/30/06 v. Wells Fargo investments LLC, Wells Fargo Bank NA, Matthew Medeiros Securities Respondent May 7, 2011
    Robert N. Stephens Living Trust v. UnionBanc Investment Services LLC Securities Respondent Mar. 26, 2011
    Dominic V. Annino, individually and as Trustee of the Dominic V. Annino Trust U/A DTD 12/18/1992 aka DVA Family Trust; and Suzanne Mahoney, as Trustee of Dominic V. Annino Trust U/A DTD 12/18/1992 aka DVA Family Trust v. Wells Fargo Investments LLC, Kennon R. Klein Securities Respondent Jan. 15, 2011
    Frank R. Lopez, individually and as Trustee to the Frank R. Lopez Living Trust, dtd Sept. 27, 2007 v. Wells Fargo Investments, LLC Contracts Respondent Feb. 20, 2010
    Sterling Casualty Insurance Company, H&H Agency Inc., D&H Claims Services Inc. v. Bear Stearns & Co. Inc. nka J.P. Morgan Securities Inc., CIBC World Markets Corp., Wachovia Securities LLC, Oppenheimer & Co. Inc., Michael Horaney Securities Respondent Jan. 24, 2009
    Rindy Merrifield TTEE of the Rindy Merrifield Inc., Defined Benefit Plan FBO Rindy Merrifield DTD 1/1/00 v. Mutual Service Corporation, Michael T. Woods Contracts Respondent Mar. 15, 2008
    Dennis M. Nigro, The Dennis M. Nigro Trust, The Dennis & Brenda M. Nigro Living Trust and Dennis M. Nigro, MD, Inc. v. Mutual Service Corporation, Charles W. Leitzke, Leonard G. Voisen, and Michael E. Poston Securities Respondent Mar. 31, 2007
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