| 19-01927 | 05/27/2020 | Claimant(s): David Moore, David L. Moore IRA
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Joyce L. Hurley, Alan M. Rosen, Robert C. Albini
Hearing Site: Los Angeles, CA
|  | Dismissed by Rule 12206/12504 |
| 17-02024 | 07/03/2019 | Claimant(s): Dorothy Barone, as trustee
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Andrew Brown
Respondent Lawyers(s): Andrew Owen Brown
Arbitrator(s): Alan M. Rosen
Hearing Site: Los Angeles, CA
| | $76,781 |
| 16-03273 | 08/10/2018 | Claimant(s): Rosemary Perera, Rosemary Perera IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): Syndicated Capital.
Respondent Lawyers(s): Natalie N. FitzGerald
Arbitrator(s): Richard J. Stall, Alan M. Rosen, Barry A. Fisher
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 15-00829 | 06/16/2016 | Claimant(s): Judith De Anda, The Regina G. Doyle Separate Property Re
Claimant Lawyers(s): Judith De Anda
Respondent(s): UBS Financial Services Inc., Teresa Harmon
Respondent Lawyers(s): Erin Weesner-McKinley, Patrick R. Mahoney
Arbitrator(s): Alan M. Rosen, Steven A. Wawra, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | $0 |
| 14-01604 | 02/01/2016 | Claimant(s): Marlene Lewis, Maxim Levkov, Artek Media International Inc.
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ronald Wood
Arbitrator(s): Martin Olinick, Alan M. Rosen, David Paul Beauvais
Hearing Site: Los Angeles, CA
| | $825,600 |
| 14-00029 | 12/03/2015 | Claimant(s): Irving Nast
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Brian Hagerman, John Matthews, Equities Trading Corporation, Global Arena Capital Corp, Joseph Gunnar & Co.
Respondent Lawyers(s): John E. Lawlor, Ronald S. Herzog
Arbitrator(s): Edward J. Costello, Alan M. Rosen, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
| | $0 |
| 12-04192 | 07/28/2014 | Claimant(s): Diegel Family Living Trust
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Alan M. Rosen
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-03590 | 12/18/2012 | Claimant(s): Sheryl Elshire, The Sherdon Trust
Claimant Lawyers(s): John M. Adsit
Respondent(s): Edward Glenn, Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Gerald F. Corrigan, Alan M. Rosen, Seymour Schoen
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-03510 | 02/24/2011 | Claimant(s): John Williams, Williams Family Bypass Trust dtd 11/5/87, Williams Family Trust of 1987 dd 11/5/87
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Debra Volland Achkire
Arbitrator(s): Michael R. Mitchell, Alan M. Rosen, Madina C. Boland
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 10-00013 | 12/16/2010 | Claimant(s): Roee Kraemer
Claimant Lawyers(s): Roee Kraemer
Respondent(s): Burke Dambly, Daryl Holzberg, James Walsh, Private Asset Group.
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): Alan M. Rosen
Hearing Site: Los Angeles, CA
| | Expungement |
