| 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 |
| 12-01167 | 05/14/2013 | Claimant(s): Suzy Asad, 1999 Suzy Asad Revocable Trust dtd 8/20/
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Mamdoh Abas, Proequities.
Respondent Lawyers(s): Alexis Y. Lu, Brandon Reif
Arbitrator(s): Robert B. Moran, Richard M. Norman, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | $448,560 |
| 10-03743 | 05/08/2012 | Claimant(s): Donna Wagner, Richard Wagner, R.L.WagnerTrust-Richard Wagner Trustee
Claimant Lawyers(s): James R. Ebert, William A. Malis
Respondent(s): Wells Fargo Investments, Wells Fargo Brokerage Services, L.L.C., Wells Fargo Institutional Securities LLC
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Kenneth I. Rosenblum, Gerald F. Corrigan, Richard M. Norman
Hearing Site: Los Angeles, CA
| | Auction Rate Securities related |
| 09-06578 | 07/08/2011 | Claimant(s): Leo David, Ruth David, R&D Development
Claimant Lawyers(s): David Boros
Respondent(s): Gal Ben-Naim, IDB Capital Corp.
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Sandra L. Malek, Jeffrey E. Skogsbergh, Richard M. Norman
Hearing Site: Los Angeles, CA
| | $0 |
| 09-06555 | 02/14/2011 | Claimant(s): Robert N. Stephens Living Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): UnionBanc Investment Services
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Richard M. Norman, Robert C. Albini, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-02221 | 04/14/2010 | Claimant(s): Andrew Honzel, Beverly Honzel
Claimant Lawyers(s): Lawrence D. Lewis
Respondent(s): Benjamin Daniels, Raymond James Financial Services.
Respondent Lawyers(s): Charles L. Gallagher, Robert Rudnicki
Arbitrator(s): Edward I. Miller, Richard M. Norman, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | $0 |
| 08-04081 | 05/08/2009 | Claimant(s): Robert Mendoza
Claimant Lawyers(s): Robert Mendoza
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
| | $2,377 |
