| 12-01937 | 11/29/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Brian Matz
Respondent Lawyers(s): Christine E. Goodrich
Arbitrator(s): Mark S. Priver, Edward Banian, Richard M. Norman
Hearing Site: Los Angeles, CA
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| 13-00010 | 11/26/2013 | Claimant(s): Steven Brahy
Claimant Lawyers(s): Steven Brahy
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Melvin S. Feldman, Michael M. Perrigue, Olivia J. Valentine
Hearing Site: Los Angeles, CA
| | |
| 12-03601 | 11/25/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Jen Lee
Respondent Lawyers(s): Jen Yung Lee
Arbitrator(s): Herbert Murez, Ralph B. Perry, David S. Harrison
Hearing Site: Los Angeles, CA
| | |
| 02-07270 | 11/18/2013 | Claimant(s): David Johnston
Claimant Lawyers(s): David Johnston
Respondent(s): Quest Capital Strategies.
Respondent Lawyers(s): Robert T. Lemen
Arbitrator(s): Debra Brothers Self
Hearing Site: Los Angeles, CA
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| 11-03980 | 11/08/2013 | Claimant(s): Dwayne Peltier
Claimant Lawyers(s): Joel W. Baruch
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer L. Nutter
Arbitrator(s): G. Thomas Fleming, Elizabeth A. Copley, Robert Alan Merring
Hearing Site: Los Angeles, CA
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| 12-02471 | 11/06/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Anthony Carter
Respondent Lawyers(s): Anthony E. Carter
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
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| 13-00615 | 10/04/2013 | Claimant(s): Stephen Epstein
Claimant Lawyers(s): Stephen Samuel Epstein
Respondent(s): Duc Tran, Joseph Pates
Respondent Lawyers(s): Duc Tien Tran, Joseph L. Pates
Arbitrator(s): Robert Dean McKinley
Hearing Site: Los Angeles, CA
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| 12-03098 | 10/03/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Timothy N. Will
Respondent(s): Catherine Sweeney
Respondent Lawyers(s): Catherine Rose Sweeney
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
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| 12-04232 | 10/01/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): Douglas Lounsbury
Respondent Lawyers(s): Douglas Milton Lounsbury
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
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| 13-00260 | 10/01/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Payne L. Templeton
Respondent(s): James O'Brien IRA, The James E. O'Brien MD Separate Propert
Respondent Lawyers(s): James O'Brien
Arbitrator(s): Elizabeth A. Copley, Vincent J. Natoli, Marvin B. Karelitz
Hearing Site: Los Angeles, CA
| | Expungement |
