| 14-01731 | 10/01/2014 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 14-00221 | 09/18/2014 | Claimant(s): Thomas Fields
Claimant Lawyers(s): David Wakukawa
Respondent(s): Patricia Taylor, Robert Taylor, RT Enterprises, The Taylor Family Trust DTD 03/10/1992
Respondent Lawyers(s): Robert Taylor
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-00187 | 12/03/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Barry Belmont, Gordon Belmont, Lock Haven Industrial Park Inc., Towne Center Properties Inc., JLB/JAB Limited Partnership, GST Exempt Marital Trust, GST Exempt Residuary Trust, GST Non-Exempt Marital Trust
Respondent Lawyers(s): Barry Belmont, Gordon L. Belmont
Arbitrator(s): David J. Anderson, Laurent C. Vonderweidt, Karen A. Lockwood
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-02549 | 03/26/2013 | Claimant(s): Stephen Epstein
Claimant Lawyers(s): Stephen Epstein
Respondent(s): Brokersxpress LLC
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 12-03097 | 01/25/2013 | Claimant(s): Lisa Detanna
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Alyse Pinto, Ron Pinto
Respondent Lawyers(s): Ron Pinto
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04711 | 11/16/2012 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Steven Lyga
Respondent Lawyers(s): Steven Andrew Lyga
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 09-06674 | 11/02/2011 | Claimant(s): Drew Freides
Claimant Lawyers(s): R. Rogge Dunn
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): David J. Anderson, Edward A. Trabin, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | |
| 10-01654 | 04/11/2011 | Claimant(s): James Mosher
Claimant Lawyers(s): James M. Mosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathleen M. McDowell
Arbitrator(s): David J. Anderson, Kenneth E. Owen, Randall N. Kirk
Hearing Site: Los Angeles, CA
| | |
| 08-01957 | 03/09/2011 | Claimant(s): "Bruce" Moghaddam-Jafary
Claimant Lawyers(s): Faramarz Moghaddam-Jafary
Respondent(s): Ameriprise Financial Services., Ameriprise Financial.
Respondent Lawyers(s): Bryan C. Keane
Arbitrator(s): David J. Anderson, Christine A. Page, Richard J. Stall
Hearing Site: Los Angeles, CA
| | |
| 01-06400 | 08/26/2008 | Claimant(s): Robert Tarrington
Claimant Lawyers(s): Robert W. Tarrington
Respondent(s): John Lee, Laurence Forsman, A.G. Edwards & Sons.
Respondent Lawyers(s): Jason S. Mills, Laurence S. Forsman, Nuviah Shirazi
Arbitrator(s): Martin Mandel, David J. Anderson, Michael D. Harrison
Hearing Site: Los Angeles, CA
| | |
