| 14-01387 | 09/21/2015 | Claimant(s): Tracy Chen
Claimant Lawyers(s): Laura Sullivan
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trish M. Higgins
Arbitrator(s): James D. Knotter, June McLaughlin, Steven H. Gentry
Hearing Site: Los Angeles, CA
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| 14-01106 | 08/28/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Wendy R. Hughes
Respondent(s): Carrie Riley
Respondent Lawyers(s): Carrie J. Riley
Arbitrator(s): Gerald F. Corrigan
Hearing Site: Los Angeles, CA
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| 13-03042 | 07/14/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Berman
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Theresa Y. Hu, Robert B. Hansohn, W. Alex King
Hearing Site: Los Angeles, CA
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| 13-03576 | 07/08/2015 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Ken M. Fitzgerald
Respondent(s): James Wohlford, Penney Sick
Respondent Lawyers(s): D. Greg Durbin, Ken M. Fitzgerald
Arbitrator(s): Arthur T. Berggren, Kevin Joseph Pilon, Ethan Joseph Brown
Hearing Site: Los Angeles, CA
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| 14-03196 | 06/29/2015 | Claimant(s): Victor Jones
Claimant Lawyers(s): Victor D. Jones
Respondent(s): St. Bernard Financial Services.
Respondent Lawyers(s): Robert Keenan
Arbitrator(s): Thomas E. Shuck
Hearing Site: Los Angeles, CA
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| 14-03080 | 06/19/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
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| 14-00632 | 06/15/2015 | Claimant(s): Shahid Karim
Claimant Lawyers(s): Lottie Cohen
Respondent(s): Citigroup Global Markets., Citi Bank, NA
Respondent Lawyers(s): Benjamin A. Tulis, Theresa M. Marchlewski
Arbitrator(s): Mark S. Priver, Richard J. Stall, Christopher L. Mass
Hearing Site: Los Angeles, CA
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| 15-00146 | 06/03/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Michael Spinali
Respondent Lawyers(s): Michael Luciano Spinali
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
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| 13-01022 | 06/02/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Carole Miller
Respondent(s): Derek Greeff
Respondent Lawyers(s): Steven R. Young
Arbitrator(s): Morris S. Getzels, Robert Dean McKinley, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
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| 14-02288 | 05/22/2015 | Claimant(s): JCP Securities.
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): Jason Wright, Stephen Perry, BA Securities
Respondent Lawyers(s): Jeffrey K. Riffer, Robert J. Girard
Arbitrator(s): Michael D. Harrison, William Lee Krantz, BaoKim N. Coleman
Hearing Site: Los Angeles, CA
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