| 12-00772 | 03/04/2014 | Claimant(s): Aimai Knypstra, Knypstra 2008 Irrevocable Trust, Knypstra Family Trust
Claimant Lawyers(s): Benjamin Blakeman
Respondent(s): Ameriprise Financial Services., John Koudsi, Ameriprise Financial., Riversource Life Insurance Company
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Gary Timothy Haight, Susan B. Gans-Smith, Anna Marie Turco
Hearing Site: Los Angeles, CA
|  | $0 |
| 12-01971 | 02/21/2014 | Claimant(s): Christopher Murphy, Chris's Stuff 401K Profit Sharing Plan, Chris's Stuff Inc. Defined Benefit, Christopher J. Murphy Revocable Trust
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Constance Ellen Boukidis, Michael R. Diliberto, Allen Edward Wisniewski
Hearing Site: Los Angeles, CA
| | $600 |
| 12-00951 | 01/06/2014 | Claimant(s): Deborah Shishko, Robert Shishko, John Shishko Revocable Trust, Robert Shishko Trust
Claimant Lawyers(s): J. Christopher Wehrle, Marc L. Godino
Respondent(s): Elliott Moskowitz, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Robert J. Ruben, Blaine Smith, David L. Maislen
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-01632 | 12/20/2013 | Claimant(s): Ko Pu
Claimant Lawyers(s): Ko Fei Pu
Respondent(s): Firstrade Securities
Respondent Lawyers(s): Peter Gschweng
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $175 |
| 12-03175 | 12/10/2013 | Claimant(s): Walter Schild
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Joyce L. Hurley, Constance Ellen Boukidis, Owen Frances
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-01934 | 12/09/2013 | Claimant(s): Stacy Stripling, Love Investments, Matisse Investments
Claimant Lawyers(s): Stacy Stripling
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Walter S. Weiss, Elliott David Finkel, Olivia J. Valentine
Hearing Site: Los Angeles, CA
| | Expungement |
| 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 |
| 11-04820 | 12/06/2013 | Claimant(s): M. Otis, Otis Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph Calabrese
Arbitrator(s): Robert J. Ruben, Michael John Florio, Audrey Lynne Myer
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04495 | 11/19/2013 | Claimant(s): Mark Myden, L.A. Sports Productions Inc.
Claimant Lawyers(s): Marc X. LoPresti
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments, Nicholas Corso
Respondent Lawyers(s): Jay M. Spillane, Thomas F. Kopshever
Arbitrator(s): James Warren Hill, Ralph B. Perry, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-00146 | 11/14/2013 | Claimant(s): James Kaczmarek, John Hall, Mary Kaczmarek
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Andrew HorowitzL Financial LLC, Scott Doll, Doll Capital Advisors, The Estate Management Group.
Respondent Lawyers(s): David Markun, Ryan Gustafson
Arbitrator(s): Martin Olinick, Kenneth E. Owen, Neil S. Jasper
Hearing Site: Los Angeles, CA
| | Expungement |
