| 13-01429 | 06/25/2014 | Claimant(s): Arnold & Selda Massion Revocable Living
Claimant Lawyers(s): Selda Massion
Respondent(s): David Williams, Morgan Peabody.
Respondent Lawyers(s): David Allen Williams, David Williams
Arbitrator(s): Alan Stamm
Hearing Site: Los Angeles, CA
|  | $15,317 |
| 13-02039 | 06/19/2014 | Claimant(s): Ruth Levine, Ruth R. Levine Living Trust
Claimant Lawyers(s): Eric A. Woosley
Respondent(s): Morgan Stanley & Co., Stephen Kally
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Robert A. Lombardi, Richard M. Norman, Gregory Douglas Stone
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-04167 | 06/19/2014 | Claimant(s): Bruce Wasserman, Bruce D. Wasserman OMD., Bruce D. Wasserman IRA
Claimant Lawyers(s): Laurie J. Butler
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Tom Barnett
Arbitrator(s): Robert C. Albini, Terry Lynn Chambless, Carole Helfert Aragon
Hearing Site: Los Angeles, CA
| | $0 |
| 11-02468 | 06/16/2014 | Claimant(s): Pauline Allen, Pauline W. Allen Revocable Trust U/A 1/1
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Financial West Group, Edward Wentzheimer, UBS Financial Services Inc., M. Krasny, Marc Adelman, Mark Lewis
Respondent Lawyers(s): Amy B. Bard, Brent A. Burns, Ryan Probstfeld
Arbitrator(s): Michael G. Clark, CathyLyn Rossi, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
| 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 |
| 13-00785 | 06/09/2014 | Claimant(s): Jeanette Brown, Lowell Brown
Claimant Lawyers(s): Jeanette S. Brown
Respondent(s): Aurielle Nelsen, Donald Davis, Elisabeth Kratka, Joseph Gilbert, Morgan Stanley, Nathan Dilts, Robert Perry, Stephen Suzuki, Steven Easler, Tammy D'Agostino
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): Kenneth E. Owen, Gerald F. Corrigan, David Paul Beauvais
Hearing Site: Los Angeles, CA
| | $4,430 |
| 11-04580 | 06/04/2014 | Claimant(s): Rick Cooper
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): Richard Lanni, Ronald Vogel, Vincent Moy
Respondent Lawyers(s): Charles LaChaussee, John L. Erikson, Mitchell J. Albert
Arbitrator(s): John B. La Rue, Rosa Linda Guadarrama, John R Sustersic
Hearing Site: Los Angeles, CA
| | $0 |
| 13-02477 | 05/14/2014 | Claimant(s): Gregory Niemann Living Trust, Leila Niemann Living Trust, The Niemann Family Revocable Trust
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Salvatore A. Sciortino, Judith Porter, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00691 | 05/06/2014 | Claimant(s): Steven Weber, Kern Family Intervivos Trust DTD 8/9/00
Claimant Lawyers(s): Christopher Kern, Steve Weber
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Benjamin F. Breslauer, Robert B. Hansohn, Michael John Florio
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-04345 | 04/25/2014 | Claimant(s): Austin Family Trust
Claimant Lawyers(s): Gregory Austin
Respondent(s): Edwin Stanton, Morgan Stanley
Respondent Lawyers(s): Melissa Muehfeld
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | $19,148 |
