| 11-04733 | 06/16/2014 | Claimant(s): Kwan Yoo
Claimant Lawyers(s): Kwan Kun Yoo
Respondent(s): Mooho Lee, Young Seo, Ace Diversified Capital., Ace Securities.
Respondent Lawyers(s): Marc I. Zussman
Arbitrator(s): David J. Anderson, Erik R. Siering, Michael John Florio
Hearing Site: Los Angeles, CA
|  | $0 |
| 11-02120 | 03/01/2012 | Claimant(s): J. Charles and Loena P. Boling
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos Provencio
Arbitrator(s): Erik R. Siering
Hearing Site: Birmingham, AL
| | $213 |
| 09-02583 | 11/29/2011 | Claimant(s): Jose Castaneda, Felicitas Castaneda
Claimant Lawyers(s): Jose Castaneda
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Erik R. Siering, David L. Maislen, Henry Marris Wollman
Hearing Site: Los Angeles, CA
| | $0 |
| 08-04776 | 11/10/2011 | Claimant(s): Dudley Pepp
Claimant Lawyers(s): Michael St. Denis
Respondent(s): Bertrand Ginsberg, Russell Grossman, Sandra Morelli, Alliancebernstein Investments., Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Erik R. Siering, Robert E. Lawson, Robert Edward Koondel
Hearing Site: Los Angeles, CA
| | $0 |
| 09-05926 | 03/30/2011 | Claimant(s): Amnon Feffer, Solomon and Bessie Feffer Trusts
Claimant Lawyers(s): Joseph S. Fogel
Respondent(s): Jonathan Feffer, Buckman, Buckman & Reid.
Respondent Lawyers(s): Jonathan Feffer, Mark J. Astarita
Arbitrator(s): James H. Frank, Erik R. Siering, Russell T. Doe
Hearing Site: Los Angeles, CA
| | $0 |
| 10-02023 | 03/21/2011 | Claimant(s): Tatsuko Wein
Claimant Lawyers(s): Thomas L. Gourde
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Erik R. Siering, Gerald C. Tambe, Chuba B. Abaelu
Hearing Site: Los Angeles, CA
| | $60,024 |
| 04-08019 | 12/16/2008 | Claimant(s): The Kramer Family Trust dtd 05/25/77
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | $0 |
| 03-09085 | 03/31/2008 | Claimant(s): Fred Lowenschuss, Laurance Lowenschuss, ENTERED IN ERROR, Alan Lowenschuss Trust UAD 1/24/89, Edward Lowenschuss Trust UAD 1/24/89
Claimant Lawyers(s): Edward Lowenschuss, Fred Lowenschuss
Respondent(s): Sanford I. Weill, Citigroup Global Markets., Jack B. Grubman, John Hoffmann, Joseph Friedman, Kevin McCaffrey, Robert Waldman
Respondent Lawyers(s): William F. Alderman
Arbitrator(s): Michael W. Burnett, Erik R. Siering, Arthur T. Berggren
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
