| 13-03339 | 05/02/2014 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
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| 13-02889 | 05/01/2014 | Claimant(s): UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Richard Doretti
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Gary Timothy Haight, Christine A. Page, John B. La Rue
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-03623 | 04/28/2014 | Claimant(s): Deanna Buchholz
Claimant Lawyers(s): Jody L. Winter
Respondent(s): Cambridge Investment Research Advisors,, Cambridge Investment Research.
Respondent Lawyers(s): Sam Y. Edgerton
Arbitrator(s): Richard J. Stall, Robert Dean McKinley, Brant Jackson Griffin
Hearing Site: Los Angeles, CA
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| 11-02922 | 04/07/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
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| 13-00947 | 04/02/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John Erikson
Respondent(s): Bambi Holzer
Respondent Lawyers(s): Rex Julian Beaber
Arbitrator(s): Anita Rae Shapiro, Janice A. Salter, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | |
| 13-00962 | 04/01/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Bahram Mirhashemi
Respondent Lawyers(s): Brian A. Lebrecht
Arbitrator(s): John Alen DeRosa, David L. Maislen, Keith Schulner
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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| 12-00506 | 03/11/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Jessica McConnell, Todd Carbone
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Robert D. Sussin, Robert A. Lombardi, Bryan L. Herrmann
Hearing Site: Los Angeles, CA
| | |
| 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 |
| 10-05092 | 02/26/2014 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Burns
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Howard A. Emirhanian, Martin J. Kotowski, David Nielsen
Hearing Site: Los Angeles, CA
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