| 16-02793 | 07/19/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Rebecca L. Gerome
Respondent(s): Rex Ramsey
Respondent Lawyers(s): Christopher M. Carrillo
Arbitrator(s): Nancy J. Spieczny, Annette Gres Shepherd, Joseph L. Hagan
Hearing Site: Los Angeles, CA
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| 14-02982 | 09/27/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jennifer L. Tomsen, Tracy L. Gerber
Respondent(s): Audra Lalley
Respondent Lawyers(s): Michael A. Thurman
Arbitrator(s): Barbara M. Zak, Annette Gres Shepherd, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
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| 14-00161 | 08/12/2014 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Annette Gres Shepherd
Hearing Site: Los Angeles, CA
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| 12-03722 | 03/18/2014 | Claimant(s): Nauman Toor
Claimant Lawyers(s): Joshua H. Reisman
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Daryl S. Landy
Arbitrator(s): Mary L. Williams, Annette Gres Shepherd, Ian F. Gow
Hearing Site: Los Angeles, CA
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| 13-01973 | 03/06/2014 | Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McClelland Montgomery
Respondent(s): Mark Klein
Respondent Lawyers(s): Christopher J. Gray
Arbitrator(s): Thomas E. Shuck, Annette Gres Shepherd, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-01643 | 12/19/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Geoffrey Ortiz
Respondent Lawyers(s): Paul N. Phillips
Arbitrator(s): Annette Gres Shepherd
Hearing Site: Los Angeles, CA
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| 08-04325 | 03/18/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scotte Carter
Respondent Lawyers(s): Melanie C. Ross
Arbitrator(s): Larry Edmonson, Annette Gres Shepherd, Russell T. Doe
Hearing Site: Los Angeles, CA
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