| 11-00911 | 10/23/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Barbara Horvath
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Michael G. Clark, Barton J. Brewer, David W. Dresnick
Hearing Site: Los Angeles, CA
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| 12-00964 | 10/16/2012 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Matthew McConnell
Respondent(s): David Kingsley
Respondent Lawyers(s): David Maitland Kingsley
Arbitrator(s): Laurent C. Vonderweidt
Hearing Site: Los Angeles, CA
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| 12-01308 | 10/15/2012 | Claimant(s): Steven Caruso
Claimant Lawyers(s): Steven F. Caruso
Respondent(s): Kennedy, Cabot & Company
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Richard J. Stall
Hearing Site: Los Angeles, CA
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| 11-01101 | 10/08/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Joseph Huntsman
Respondent Lawyers(s): Joseph A. Walker
Arbitrator(s): Edward J. Costello, Michael J. Fish, David L. Maislen
Hearing Site: Los Angeles, CA
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| 11-02442 | 10/02/2012 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Angelina Chew
Respondent(s): Jon Javellana, Kenneth Ro, Barclays Capital Inc.
Respondent Lawyers(s): Christopher A. Stecher, Naki Irvin
Arbitrator(s): Robert A. Lombardi, Eric Gad Forster, Ara Kassabian
Hearing Site: Los Angeles, CA
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| 12-00241 | 09/25/2012 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Detroy Womack
Respondent Lawyers(s): Detroy Lee Womack
Arbitrator(s): Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
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| 12-01261 | 09/14/2012 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Kent Chung
Respondent Lawyers(s): Michael A. Gould
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 11-01204 | 08/30/2012 | Claimant(s): Robert Angle, White Pacific Securities.
Claimant Lawyers(s): Michael C. Miller
Respondent(s): Patrick Nelson
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Philip W. Burge, Chester L. Firestein, Robert B. Hansohn
Hearing Site: Los Angeles, CA
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| 12-01175 | 08/30/2012 | Claimant(s): Lacey Corbett, Robert Mason
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Fredrick Kish
Respondent Lawyers(s): Fredrick A. Kish
Arbitrator(s): David L. Maislen
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00621 | 08/28/2012 | Claimant(s): Deborah Schwartz
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Thomas Kim, Broadhaven Capital Partners, Pritzker Company, The UNX Companies LLC, UNX LLC
Respondent Lawyers(s): Michael E. Grenert, Todd R. Wulffson
Arbitrator(s): Montgomery G. Griffin, Anita Rae Shapiro, Daniel David Kopman
Hearing Site: Los Angeles, CA
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