| 21-00004 | 06/02/2022 | Claimant(s): Paul R. Hutchinson SEP IRA, Paul Hutchinson Jr Living Tr DTD 6/26/91
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kathleen Salvaty
Arbitrator(s): Michael John Florio, Joseph Francis Young, Julia Ulloa
Hearing Site: Los Angeles, CA
|  | Expungement |
| 17-00791 | 07/01/2019 | Claimant(s): Mansoor Karamooz, Trustee
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Richard M. Norman, Edward H. Davis, Barry A. Fisher
Hearing Site: Los Angeles, CA
| | $209,482 |
| 16-02369 | 03/05/2018 | Claimant(s): Ann Ellingson, Ann B. Ellingson IRA Accounts, Ellingson Family Partners Business Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Neil S. Jasper, Michael M. Hachigian, Mark Thomas Risner
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-02612 | 09/15/2016 | Claimant(s): John Gabay III, Karen Gabay, Gabay Private Trust dated 11/28/06
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Larry Michaels, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman, Kayla S.S. Betbout
Arbitrator(s): Robert B. Hansohn, Richard Lee Fausett, John M Harvey
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-03649 | 05/19/2016 | Claimant(s): Arthur Torrellas, Arthur A. Torrellas Q-Tip Marital Trust, Arthur A. Torrellas Survivor's Trust, Arthur Torrellas NonExempt QTip Marital, Carole M. Torrellas Decedent's Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors, Eric Spraker, Richard Spraker
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Ronald L. Cameron, Robert Rosen, Steven K. Ogata
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02505 | 05/24/2012 | Claimant(s): Barbara Roberts, Joe Roberts, Joe D. Roberts IRA
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Colleen A. Hankins, Judy Louie
Arbitrator(s): Joseph C. Watson, Robert Allan Klein, Cynthia Ruth Saffir
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-06555 | 02/14/2011 | Claimant(s): Robert N. Stephens Living Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): UnionBanc Investment Services
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Richard M. Norman, Robert C. Albini, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-01371 | 12/23/2010 | Claimant(s): MF Global Inc.
Claimant Lawyers(s): John W. Cotton
Respondent(s): Sohan Dua
Respondent Lawyers(s): Montgomery G. Griffin
Arbitrator(s): Milton N. Gross, Robert C. Albini, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | $0 |
| 08-00049 | 04/13/2010 | Claimant(s): Marie Atake, Pat Atake
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Legend Merchant Group., Strasbourger Pearson Tulcin Wolff.
Respondent Lawyers(s): Joseph Pastore, Ron Moschetta
Arbitrator(s): Gerald F. Corrigan, Rosa Linda Guadarrama, Stephen Malcolm Squire
Hearing Site: Los Angeles, CA
| | $112,859 |
| 08-01771 | 08/27/2009 | Claimant(s): Cheryl Gans, Jody Gans, Louis Gans
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wedbush Securities Inc., Wachovia Securities, Debbie Saleh, Joseph Rubenstein, UBS Financial Services Inc.
Respondent Lawyers(s): Debbie Saleh, John W. Stenson, Michael J. Abbott, Payne L. Templeton
Arbitrator(s): Alan Stamm, Robert J. Ruben, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Expungement |
