13-02279 | 03/14/2014 | Claimant(s): Henry & Layla Steelman Family Trust Claimant Lawyers(s): Henry Steelman Respondent(s): Monte Traficante, Stockcross Financial Services. Respondent Lawyers(s): Chris Albanese Arbitrator(s): Michael D. Harrison Hearing Site: Los Angeles, CA
| | Expungement |
11-02736 | 03/04/2014 | Claimant(s): Bart Sullivan, Bart Sullivan. Claimant Lawyers(s): Bart Sullivan Respondent(s): TD Ameritrade. Respondent Lawyers(s): Hollie Mason Arbitrator(s): Michael D. Harrison, Dennis A. Torres, Jack R. Goetz Hearing Site: Los Angeles, CA
| | $0 |
10-04407 | 12/06/2013 | Claimant(s): Guadalupe Sandoval, Javier Chavez, Jose Fuentes, Maria Conchita Alonso, Roberto I. Nogales Claimant Lawyers(s): Joseph C. Peiffer Respondent(s): Rafael Sanchez, Fidelity Brokerage Services LLC Respondent Lawyers(s): Kenneth C. Mennemeier, Rafael R. Sanchez Arbitrator(s): Michael D. Harrison, Neil S. Jasper, Daniel Su Hearing Site: Los Angeles, CA
| | Stipulated Award |
11-01265 | 01/31/2013 | Claimant(s): The Eckenrod Living Trust Dtd. 5/12/87 Claimant Lawyers(s): Edward H. Glenn Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): William McC. Montgomery Arbitrator(s): Michael D. Harrison Hearing Site: Los Angeles, CA
| | Expungement |
10-04932 | 10/27/2011 | Claimant(s): Jayne Dressor, Marissa Dressor Claimant Lawyers(s): Jayne Dressor Respondent(s): World Group Securities. Respondent Lawyers(s): Robert G. Brunton Arbitrator(s): Michael D. Harrison Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
09-06722 | 08/02/2011 | Claimant(s): Lon Isaacson, Michael Trerotola, Stephen Trerotola, Lon B. Isaacson Associates Claimant Lawyers(s): Lon B. Isaacson Respondent(s): UBS Securities LLC, James Shelburne, Joseph Sulentor, UBS Financial Services Inc., Michael Ladge, Richard Frankel, Shawn Patt, UBS AG Respondent Lawyers(s): Jeffrey W. Kramer, Kendra Canape Arbitrator(s): Michael D. Harrison, Robert Elman, W. Alex King Hearing Site: Los Angeles, CA
| | Expungement |
08-03982 | 05/18/2010 | Claimant(s): Bradford Kohlenberg, Virginia Lake Townhouses, Bradford Kohlenberg Qualif. Dispos. Trus Claimant Lawyers(s): Mark T. Drooks Respondent(s): RBC Capital Markets LLC, Stan Dreyfuss Respondent Lawyers(s): Michael M. Gless Arbitrator(s): Michael D. Harrison, Edward A. Trabin, Gerald C. Tambe Hearing Site: Los Angeles, CA
| | $340,000 |
09-00592 | 07/23/2009 | Claimant(s): Shamshudin L. and Zarina S. Lalji Claimant Lawyers(s): Shamshudin Ladha Lalji Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Hugo A. Hilgendorff Arbitrator(s): Michael D. Harrison Hearing Site: Los Angeles, CA
| | $0 |
02-00787 | 05/27/2008 | Claimant(s): Ronald and Kara Hershey Claimant Lawyers(s): John Thomas Dzialo Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Philip Hammitt Respondent Lawyers(s): Peter Brown Dolan Arbitrator(s): David Zollman, Michael D. Harrison, Carl W. Vaicek Hearing Site: Los Angeles, CA
| | $0 |
07-00803 | 04/04/2008 | Claimant(s): A.G. Edwards & Sons. Claimant Lawyers(s): Dennis Capriglione Respondent(s): Thomas McGowan Respondent Lawyers(s): Thomas Joseph McGowan Arbitrator(s): Kenneth E. Owen, Michael D. Harrison, Steven A. Fox Hearing Site: Los Angeles, CA
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