| 12-03775 | 04/01/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Gehrin Ortiz
Respondent Lawyers(s): Gehrin Michael Ortiz
Arbitrator(s): Edward J. Costello
Hearing Site: Los Angeles, CA
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| 11-02699 | 03/26/2013 | Claimant(s): Lori Koh
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): James R. Duncan, Ralph B. Perry, Robert B. Hansohn
Hearing Site: Los Angeles, CA
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| 12-02549 | 03/26/2013 | Claimant(s): Stephen Epstein
Claimant Lawyers(s): Stephen Epstein
Respondent(s): Brokersxpress LLC
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
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| 12-03327 | 03/26/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Kris Larson
Respondent Lawyers(s): Kris Kendrick Larson
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 12-02867 | 03/21/2013 | Claimant(s): Yin Ting Cheng
Claimant Lawyers(s): Alvin Sandjaya
Respondent(s): Longview Financial Group
Respondent Lawyers(s): J. Stuart Schultz
Arbitrator(s): Richard Maurice Robinson
Hearing Site: Los Angeles, CA
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| 10-02139 | 03/19/2013 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Caio Dunson
Respondent Lawyers(s): Tanya Sacks
Arbitrator(s): Louis R. Eglash, Mandel E. Himelstein, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
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| 12-03289 | 03/14/2013 | Claimant(s): John Parmigiani
Claimant Lawyers(s): Jeffrey S. Kob
Respondent(s): Erin Mills
Respondent Lawyers(s): Erin Mills
Arbitrator(s): John E. Ohashi, Salvatore A. Sciortino, Paul Isaac Matloff
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-01785 | 03/12/2013 | Claimant(s): William Petersen
Claimant Lawyers(s): William Poulis Petersen
Respondent(s): Christopher Vinck, David Swoish, Great Pacific Securities
Respondent Lawyers(s): Christopher Vincent Vinck, David T. Swoish, David Thomas Swoish
Arbitrator(s): Harris E. Kershnar
Hearing Site: Los Angeles, CA
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| 11-04157 | 02/26/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Kenneth C. Mennemeier
Respondent(s): Anil Shah, Preeti Shah
Respondent Lawyers(s): Hari S. Lal
Arbitrator(s): Michael R. Mitchell
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 11-03419 | 02/22/2013 | Claimant(s): Newport Coast Securities.
Claimant Lawyers(s): Irving M. Einhorn
Respondent(s): Deborah Scott, Joseph Mangiapane, Kathleen McPherson, Stephen Washburn
Respondent Lawyers(s): Irving M. Einhorn, Montgomery G. Griffin
Arbitrator(s): Edward J. Costello, Keith Schulner, Michael John Florio
Hearing Site: Los Angeles, CA
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