| 12-02469 | 09/25/2013 | Claimant(s): Michael Farah
Claimant Lawyers(s): David S. Harrison
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles B. LaChaussee
Arbitrator(s): Philip W. Burge, Robert F. Saint-Aubin, Thomas R. Watkins
Hearing Site: Los Angeles, CA
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| 12-01587 | 09/10/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitch Albert
Respondent(s): Christopher Allen
Respondent Lawyers(s): Christopher Michael Allen
Arbitrator(s): Laurent C. Vonderweidt
Hearing Site: Los Angeles, CA
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| 12-01695 | 07/29/2013 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): John Lindsey
Respondent Lawyers(s): Shirley Hayton
Arbitrator(s): Robert D. Sussin, Efren Cleofe, Herbert Murez
Hearing Site: Los Angeles, CA
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| 11-00469 | 07/22/2013 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): Trevor Rahn
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Alan Stamm, Gary Timothy Haight, Dean Schneider
Hearing Site: Los Angeles, CA
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| 12-02548 | 07/19/2013 | Claimant(s): Invest Financial Corporation
Claimant Lawyers(s): Jacquelyn Mohr
Respondent(s): Andrew Kardish
Respondent Lawyers(s): Andrew Vincent Kardish
Arbitrator(s): Cathleen M. Cobb, Benjamin F. Breslauer, Robert Weston Armstrong
Hearing Site: Los Angeles, CA
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| 12-01386 | 07/03/2013 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Joseph Buchanan
Respondent Lawyers(s): Joseph Buchanan
Arbitrator(s): Mark S. Priver, David W. Dresnick, Daniel R. Brush
Hearing Site: Los Angeles, CA
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| 12-03446 | 06/19/2013 | Claimant(s): Constantine Koukos, Morgan Stanley
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Mark Ellison Glover
Respondent Lawyers(s): Mark Ellison Glover
Arbitrator(s): Robert F. Saint-Aubin, Daniel David Kopman, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-03569 | 06/12/2013 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jonathan Kramer
Respondent(s): Robert Johnson
Respondent Lawyers(s): Robert Leland Johnson
Arbitrator(s): Alvin S. Milder
Hearing Site: Los Angeles, CA
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| 09-05899 | 06/03/2013 | Claimant(s): Paul Gomez
Claimant Lawyers(s): Aimee E. Dominguez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Respondent Lawyers(s): Andrew M. DeLucia, Michael J. Fortunato
Arbitrator(s): Laurent C. Vonderweidt, Joan Clay Manley, Frank Centofanti
Hearing Site: Los Angeles, CA
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| 11-03575 | 06/03/2013 | Claimant(s): Torrey Pines Securities.
Claimant Lawyers(s): Michael Jacobs
Respondent(s): Adam Schwartz, Charles Schwab & Co..
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): James R. Duncan, Victoria E. Johnson, David W. Casey
Hearing Site: Los Angeles, CA
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