| 10-04984 | 02/21/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Russell Williams
Respondent Lawyers(s): Geniene B. Stillwell
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
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| 12-03926 | 02/21/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): Turker Ergun
Respondent Lawyers(s): Turker Ergun
Arbitrator(s): Robert D. Sussin, Robert S. Fash, Norman Michael Garland
Hearing Site: Los Angeles, CA
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| 13-02392 | 02/13/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael L. Carp
Respondent(s): Jose Carbajal
Respondent Lawyers(s): Jose A. Carbajal
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
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| 13-01402 | 01/27/2014 | Claimant(s): Lisa Detanna
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Janet Refoa
Respondent Lawyers(s): Janet Refoa
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-03324 | 01/07/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Richard J. Stall
Hearing Site: Los Angeles, CA
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| 13-01338 | 01/06/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Scott Trueman
Respondent Lawyers(s): Scott Anthony Trueman
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
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| 10-04760 | 01/03/2014 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Timothy N Will
Respondent(s): Ronald Betten
Respondent Lawyers(s): Steven L. Miller
Arbitrator(s): Alan Stamm, Ronald L. Cameron, Larry Haugaard
Hearing Site: Los Angeles, CA
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| 10-01598 | 12/26/2013 | Claimant(s): Stanley Brooks, Brookstreet Securities Corporation, Brooks Family Trust
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Jason S. Pinney
Arbitrator(s): Robert Bruce MacDonald, Karen L. Gold, David L. Maislen
Hearing Site: Los Angeles, CA
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| 10-04296 | 12/23/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Bryan Clark
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
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| 13-00187 | 12/03/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Barry Belmont, Gordon Belmont, Lock Haven Industrial Park Inc., Towne Center Properties Inc., JLB/JAB Limited Partnership, GST Exempt Marital Trust, GST Exempt Residuary Trust, GST Non-Exempt Marital Trust
Respondent Lawyers(s): Barry Belmont, Gordon L. Belmont
Arbitrator(s): David J. Anderson, Laurent C. Vonderweidt, Karen A. Lockwood
Hearing Site: Los Angeles, CA
| | Expungement |
