| 19-00467 | 10/16/2019 | Claimant(s): Jerald Halverson, Michael Winn
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elyse W. Whitehead
Arbitrator(s): Robert D. Sussin, Christine A. Page, Richard M. Norman
Hearing Site: Los Angeles, CA
| | |
| 14-00222 | 04/28/2015 | Claimant(s): Levi Nagel
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lisa Bertain
Arbitrator(s): Christine A. Page
Hearing Site: Los Angeles, CA
| | |
| 13-02889 | 05/01/2014 | Claimant(s): UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Richard Doretti
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Gary Timothy Haight, Christine A. Page, John B. La Rue
Hearing Site: Los Angeles, CA
| | Expungement |
| 07-03310 | 07/20/2011 | Claimant(s): Carlo Carrion
Claimant Lawyers(s): Carlo A. Carrion
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): John E. Ohashi, Christine A. Page, Jerry Ellner
Hearing Site: Los Angeles, CA
| | |
| 08-01957 | 03/09/2011 | Claimant(s): "Bruce" Moghaddam-Jafary
Claimant Lawyers(s): Faramarz Moghaddam-Jafary
Respondent(s): Ameriprise Financial Services., Ameriprise Financial.
Respondent Lawyers(s): Bryan C. Keane
Arbitrator(s): David J. Anderson, Christine A. Page, Richard J. Stall
Hearing Site: Los Angeles, CA
| | |
| 08-00450 | 08/28/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Robert Lobel
Respondent Lawyers(s): David R. Hagen
Arbitrator(s): Philip W. Burge, Blaine Smith, Christine A. Page
Hearing Site: Los Angeles, CA
| | |
| 07-02304 | 03/20/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): David H.S. Commins
Respondent(s): Gregory Iglow
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Christine A. Page, Cynthia Ann Higgins, Christopher J. Rogers
Hearing Site: Los Angeles, CA
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