| 16-02858 | 02/21/2017 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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| 14-00937 | 12/27/2016 | Claimant(s): BTIG
Claimant Lawyers(s): Scott T. Nonaka
Respondent(s): Ahmad Moussavi, David Connors, Deirdre McCoy, Jacques Tizabi, Jay Chapler, M. Khan, Marc Wade, Mark Valentine, Michael Cheng, Nima Montazeri, Sam Halim, Scott Dorey, BHP International Markets, Ltd., Floyd Associates., Silver Leaf Partners
Respondent Lawyers(s): Anthony S. Kikivarakis, Harry Delagrammatikas, John R. Loftus, Kasey Curtis, Liam O' Brien, Mark E. Valentine, Steven M. Goldsobel, Stuart A. Shanus
Arbitrator(s): Robert D. Sussin, Michael W. Burnett, Alan Bert Nishimura
Hearing Site: Los Angeles, CA
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| 15-01376 | 12/02/2015 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott Rahn
Respondent(s): Robert Berra
Respondent Lawyers(s): Robert Berra
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-01532 | 08/14/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): Charles Grant
Respondent Lawyers(s): Charles Richard Grant
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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| 12-00506 | 03/11/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Jessica McConnell, Todd Carbone
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Robert D. Sussin, Robert A. Lombardi, Bryan L. Herrmann
Hearing Site: Los Angeles, CA
| | |
| 12-03926 | 02/21/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): Turker Ergun
Respondent Lawyers(s): Turker Ergun
Arbitrator(s): Robert D. Sussin, Robert S. Fash, Norman Michael Garland
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
| | |
| 10-00798 | 04/12/2012 | Claimant(s): Jefferies & Company.
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Alexander Kadish, Matthew Gorelik
Respondent Lawyers(s): Ryan D. Saba
Arbitrator(s): Robert D. Sussin, Suzanne Viau Chamberlain, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | |
| 11-03864 | 03/16/2012 | Claimant(s): Lisa Detanna
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Harriett Pitts, Thomas R. Pitts Trust
Respondent Lawyers(s): Harriett Pitts
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04810 | 01/24/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Mark Carberry
Respondent(s): Amir Monsefi, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John D. Vaughn, Timothy R. Pestotnik
Arbitrator(s): Robert D. Sussin, Kirtley M. Thiesmeyer, Karen J. Burneff
Hearing Site: Los Angeles, CA
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