| 15-00624 | 07/22/2016 | Claimant(s): Laura Bell
Claimant Lawyers(s): David Lefkowitz
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Arthur T. Berggren, Lawrence Yaeger, Robert C. Albini
Hearing Site: Los Angeles, CA
|  | $625,000 |
| 14-02915 | 07/15/2016 | Claimant(s): Joan Galloway, Robert Galloway, The Galloway Family Trust
Claimant Lawyers(s): Joshua H. Sisam
Respondent(s): Financial Advisers Of America
Respondent Lawyers(s): Kenneth Johnston
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $1,541,720 |
| 15-03150 | 07/13/2016 | Claimant(s): Timothy Craiger
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Capital City Securities
Respondent Lawyers(s): Todd E. Crawford
Arbitrator(s): James R. Duncan, Mark S. Priver, James Stephan Mulholland
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 15-02734 | 07/01/2016 | Claimant(s): Brandon Price, Carol Price, Cody Price, Jonathan Washington, Leslie Price, Patrick Price, Tania Price-Tilley, William Washington, Ecstasy Queen
Claimant Lawyers(s): Tania L. Price-Tilley
Respondent(s): Angela Bearup, Bahram Shidoosh, Craig Connor, Daniel Fuller, James Shoultz, Jeffrey Paulson, John Gustafson, Karen Smith, Kelley Densham, Charles Schwab & Co.., Rachel Brown, Richard Schroeder, Sean Connolly, Stephen Petti, Stephen Jay Muth
Respondent Lawyers(s): Angela Michelle Bearup, Dorothy Wolpert, Jeffrey Thomas Paulson, Mark T. Drooks
Arbitrator(s): Richard J. Stall, Edward Banian, Dana L. Bigman
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 15-02911 | 06/23/2016 | Claimant(s): Michelle Roberts
Claimant Lawyers(s): Michelle M. Roberts
Respondent(s): Mark Otta, Monica John, RBC Capital Markets LLC, Stanley Cooper
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Michael John Florio
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-04241 | 06/22/2016 | Claimant(s): Sonia Romagosa
Claimant Lawyers(s): Sonia Romagosa
Respondent(s): Carlos Getino, Ameriprise Financial Services.
Respondent Lawyers(s): Matthew D. Klafter
Arbitrator(s): Gerald F. Corrigan, Laurent C. Vonderweidt, Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | $0 |
| 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 |
| 15-02899 | 06/06/2016 | Claimant(s): Thao Hua
Claimant Lawyers(s): Thao Hua
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Timothy M. Huskey
Arbitrator(s): Alan Stamm
Hearing Site: Los Angeles, CA
| | $0 |
| 15-01700 | 06/01/2016 | Claimant(s): Denis P. Doyle IRA, Denis P. Doyle Revocable Trust FBO Denis, Gloria R. Doyle Revocable Trust FBO Glor
Claimant Lawyers(s): Aaron M. May, Grant B. Gelberg
Respondent(s): Morgan Stanley, Peter Doyle, Wendy Feldman
Respondent Lawyers(s): Ronald E. Wood
Arbitrator(s): Gary Timothy Haight, Susan B. Gans-Smith, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $8,606,600 |
| 13-02835 | 05/27/2016 | Claimant(s): Joseph Sanberg
Claimant Lawyers(s): Todd H. Stitt
Respondent(s): Fidelity Brokerage Services LLC, Sean Oittinen, Stephen Fox
Respondent Lawyers(s): Ellen Sessions
Arbitrator(s): Robert D. Sussin, Joyce L. Hurley, Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | Expungement |
