| 14-01769 | 12/18/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John W. Stenson
Respondent(s): Said Javidi
Respondent Lawyers(s): Said Alexander Javidi
Arbitrator(s): George L. Tindall, Salvatore A. Sciortino, Steven J. Feldman
Hearing Site: Los Angeles, CA
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| 13-02311 | 12/16/2014 | Claimant(s): Mel Schonhorst
Claimant Lawyers(s): Robert M. Thornton
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Jonathan J. Hegre
Arbitrator(s): Louis J. Weber
Hearing Site: Dallas, TX
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| 14-00437 | 12/15/2014 | Claimant(s): Sharon Rashti
Claimant Lawyers(s): Sharon Rashti
Respondent(s): Viewtrade Securities.
Respondent Lawyers(s): Allan M. Lerner
Arbitrator(s): Alyson R. Dachelet, Andrew F. Greitz
Hearing Site: Boca Raton, FL
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| 14-01025 | 12/15/2014 | Claimant(s): Grant Gochin
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Elliott Zachary Seff, Constance Ellen Boukidis, Daniel R. Brush
Hearing Site: Los Angeles, CA
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| 14-00444 | 12/12/2014 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
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| 11-03113 | 12/11/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee, Samuel P. Mauch
Respondent(s): Laurie Facsina
Respondent Lawyers(s): Laurie Fascina
Arbitrator(s): Thomas R. Skulina, Robert H. Baker, Dennis S. Medica, CPA
Hearing Site: Cleveland, OH
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| 12-00963 | 12/11/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Andrew Donofrio
Respondent Lawyers(s): Andrew Donofrio
Arbitrator(s): S. Charles Tabak, Paul G. Garjian, Ellen Dolores Walsh
Hearing Site: Newark, NJ
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| 14-00930 | 12/11/2014 | Claimant(s): Mike Kratzke
Claimant Lawyers(s): Miriam G. Bahcall
Respondent(s): The Moapa Band of Paiutes
Respondent Lawyers(s): Ron Settje
Arbitrator(s): Barry A. Mainardi, Ralph B. Perry, David L. Moran
Hearing Site: Las Vegas, NV
| | Expungement |
| 14-01537 | 12/11/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Claudie Johnson
Respondent Lawyers(s): Claudie Johnson
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
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| 13-02673 | 12/10/2014 | Claimant(s): Stephen Heil
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): LPL Financial LLC, Dennis Ulrich, Jeffrey Westerhold, Kimberly Loy, Steven Langendorf
Respondent Lawyers(s): Rachel E. Stephens, Thomas E. Berry
Arbitrator(s): Thomas J. Ray, Joseph V. Simeri, David J. Bokal
Hearing Site: St. Louis, MO
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