| 13-02307 | 07/09/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): James E. Murtagh
Respondent(s): Richard Griswold
Respondent Lawyers(s): Richard John Griswold
Arbitrator(s): Carolyn V. Quadt
Hearing Site: Los Angeles, CA
| | |
| 10-04465 | 07/02/2014 | Claimant(s): Daniel Becerra
Claimant Lawyers(s): S. Adam Spiewak
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Jodi S. Cohen
Arbitrator(s): Basil Lewis, Richard J. Stall, Joseph C. Watson
Hearing Site: Los Angeles, CA
| | |
| 13-03389 | 06/12/2014 | Claimant(s): UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): James Floyd, Mary Floyd
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Thomas E. Shuck, Christopher J. Rogers, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04257 | 06/10/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Philip Duamarell
Respondent Lawyers(s): Michael Blumenfeld
Arbitrator(s): Richard J. Stall, Robert Bruce MacDonald, Thomas W. Gregory
Hearing Site: Los Angeles, CA
| | |
| 12-02244 | 06/03/2014 | Claimant(s): Joseph Ellison
Claimant Lawyers(s): James A. Sigler
Respondent(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Richard M. Norman, Robert Edward Koondel, George Herman Frisch
Hearing Site: Los Angeles, CA
| | |
| 12-02689 | 06/02/2014 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Duc Tran, Gary Wei, Richard McKusick
Respondent Lawyers(s): Catania T. Facher, G. Thomas Fleming
Arbitrator(s): Ronald L. Cameron, Marvin B. Karelitz, David Pierce Lyon
Hearing Site: Los Angeles, CA
| | |
| 13-03153 | 05/29/2014 | Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Fred Mandell
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): Herbert Murez, Salvatore A. Sciortino, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-03406 | 05/20/2014 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Health Solutions
Respondent Lawyers(s): Glen Rocklin
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-03756 | 05/20/2014 | Claimant(s): Kyle Christensen
Claimant Lawyers(s): Elizabeth Lowery
Respondent(s): Brookstreet Securities Corporation
Respondent Lawyers(s): Stanley C. Brooks
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | |
| 13-02727 | 05/19/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Brad Baggarly
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Kenneth R. Hyman, June McLaughlin, A. Joel Klein
Hearing Site: Los Angeles, CA
| | Expungement |
