| 12-02126 | 11/05/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Roger O'Donnell
Respondent Lawyers(s): Roger J. O'Donnell
Arbitrator(s): Alan Stamm
Hearing Site: Los Angeles, CA
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| 13-00616 | 11/04/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Arturo Brook
Respondent Lawyers(s): Jonathan Schwartz
Arbitrator(s): John F. Cordova, Ralph B. Perry, Steven A. Wawra
Hearing Site: Los Angeles, CA
| | |
| 14-00333 | 10/30/2014 | Claimant(s): William Garnett
Claimant Lawyers(s): William J. Garnett
Respondent(s): David Moore, Stephen Smith, Clean Energy Capital Securities LLC
Respondent Lawyers(s): David M. Moore
Arbitrator(s): Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
| | |
| 13-01438 | 10/21/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Christopher Bleuher
Respondent Lawyers(s): Catherine L. Rhodes
Arbitrator(s): Edward J. Costello, William E. Winfield, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | |
| 14-00349 | 10/06/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Scott Thompson
Respondent Lawyers(s): Scott Alexander Thompson
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 12-02964 | 10/03/2014 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Jeffrey N. Goldberg
Respondent(s): Lawrence Digioia, Matthew Celenza
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): Herbert Leslie Greenberg, Theresa Y. Hu, Richard J. Stall
Hearing Site: Los Angeles, CA
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| 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
| | |
| 13-01941 | 09/24/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John R. Bamford
Respondent(s): Bruce Branstine
Respondent Lawyers(s): Bruce C. Branstine
Arbitrator(s): Alan Stamm, Jeffrey E. Skogsbergh, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | |
| 13-02368 | 09/19/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Raymond Calderon
Respondent Lawyers(s): Raymond Calderon
Arbitrator(s): Kenneth E. Owen
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 |
