| 11-03117 | 08/24/2012 | Claimant(s): Roni Arjangravesh
Claimant Lawyers(s): Christine A. Page
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Christopher P. Fisher
Arbitrator(s): Philip W. Burge, David L. Maislen, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 12-00406 | 08/17/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Cary Rosenfeld
Respondent Lawyers(s): Cary Rosenfeld
Arbitrator(s): Walter S. Weiss
Hearing Site: Los Angeles, CA
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| 12-01504 | 08/01/2012 | Claimant(s): Marc Rosenbach
Claimant Lawyers(s): Robert Girard
Respondent(s): Lawrence Watanabe, Richard Kanner, William Nason
Respondent Lawyers(s): Lawrence Watanabe, Richard Kanner, William Nason
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-03788 | 07/25/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Christopher Skoog
Respondent Lawyers(s): Christopher Douglas Skoog
Arbitrator(s): Robert W. Vernon
Hearing Site: Los Angeles, CA
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| 10-05091 | 07/24/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): John Fallon
Respondent Lawyers(s): Todd C. Atkins
Arbitrator(s): Mary M. O'Neil, David L. Maislen, Anna Marie Turco
Hearing Site: Los Angeles, CA
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| 11-01487 | 06/28/2012 | Claimant(s): Jason Lowther
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Larry Haugaard, Donald A. Duncan, Robert Alan Merring
Hearing Site: Los Angeles, CA
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| 10-04115 | 06/21/2012 | Claimant(s): Lehman Brothers Holdings.
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Kevin Kramer
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Audrey H. Ruben, Karen A. Lockwood, Robert B. Hansohn
Hearing Site: Los Angeles, CA
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| 11-03533 | 06/19/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Stephen Wittels
Respondent Lawyers(s): Stephen Wittels
Arbitrator(s): Donald S. Simons
Hearing Site: Los Angeles, CA
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| 10-02527 | 06/11/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Goldberg
Respondent(s): George Sinanis
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Gerald C. Tambe, Mary Margaret Bush, Thomas R. Watkins
Hearing Site: Los Angeles, CA
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| 11-01812 | 06/08/2012 | Claimant(s): Michael Bullock
Claimant Lawyers(s): Michael Lee Bullock
Respondent(s): Securities America., MFS Fund Distributors.
Respondent Lawyers(s): Frances S. Cohen, Lauren T. Clark
Arbitrator(s): Robert A. Weinman, Joyce L. Hurley, Robert C. Forst
Hearing Site: Los Angeles, CA
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