| 14-02711 | 07/25/2017 | Claimant(s): ABS Manager
Claimant Lawyers(s): Mark D. Chester
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Elliott Zachary Seff, Karen A. Lockwood, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA
|  | $0 |
| 15-00027 | 05/19/2017 | Claimant(s): Robert Dale, Robert Dale IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): Daniel Levin, Scott Schroeder
Respondent Lawyers(s): Daniel Edward Levin, Scott Donovan Schroeder
Arbitrator(s): Elliott Zachary Seff, Brent J. Rosenbaum, Steven H. Gentry
Hearing Site: Los Angeles, CA
| | $23,848 |
| 14-03220 | 05/18/2017 | Claimant(s): Angelina Gerber, Harvey Gerber, H&A Gerber Trust dated 7/5/2005, The Lambert Family Trust dd 11/4/2007
Claimant Lawyers(s): Philip Aidikoff, Ryan K. Bakhtiari
Respondent(s): Charles Laverty, Oppenheimer & Co.., UBS Financial Services Inc.
Respondent Lawyers(s): Gary R. Wallace, Neal S. Robb, Robert B. Ericson
Arbitrator(s): Elliott Zachary Seff, Arthur T. Berggren, Cherie S. Lewis
Hearing Site: Los Angeles, CA
| | $1,379,400 |
| 14-00872 | 02/25/2016 | Claimant(s): Nora Smith, Estate of Dennis L. Smith, Dennis L. Smith Trust dtd 11/30/07
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Elliott Zachary Seff, Robert B. Hansohn, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | $0 |
| 13-02313 | 02/11/2016 | Claimant(s): Brown Family Trust
Claimant Lawyers(s): Thomas R. Ajamie
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Jennifer I. Machlin
Arbitrator(s): Elliott Zachary Seff, Constance Ellen Boukidis, David W. Dresnick
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-00614 | 12/22/2015 | Claimant(s): Lewis Booth
Claimant Lawyers(s): Adam Brett Wolf
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Elliott Zachary Seff, Eugene A. Taylor, Morris S. Getzels
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-03734 | 05/14/2015 | Claimant(s): Stanley Behrens Living Trust dtd July 8
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Morgan Stanley, Rafael De Vengoechea, Sandra Rutan
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Barbara M. Zak, Elliott Zachary Seff, Eric Gad Forster
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-00169 | 11/19/2014 | Claimant(s): Benjamin Hoch, Holly Hoch, Hoch Family Trust as Amended & Restated
Claimant Lawyers(s): Brian E. Shear, Theodore J. Cohen
Respondent(s): J.P. Morgan Securities, Robert Klein
Respondent Lawyers(s): Paul Schumacher
Arbitrator(s): Elliott Zachary Seff, Susan B. Gans-Smith, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
| | $485,000 |
| 11-02276 | 03/28/2013 | Claimant(s): Jacki Conolley, Sheldon Bloch, The North Family Trust, The Weston Living Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Elliott Zachary Seff, Eugene A. Taylor, John B. La Rue
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02979 | 11/18/2011 | Claimant(s): Robert Stafford
Claimant Lawyers(s): Paul S. Chan, Roger H. Foster
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): Elliott Zachary Seff, Willard H. Altman, Chuba B. Abaelu
Hearing Site: Los Angeles, CA
| | $0 |
