19-00677 | 12/20/2019 | Claimant(s): Deborah Alliano Claimant Lawyers(s): Deborah A. Alliano Respondent(s): Kelley Slaught Respondent Lawyers(s): Audette Paul Morales Arbitrator(s): Susan B. Gans-Smith Hearing Site: Los Angeles, CA
| | $0 |
17-00230 | 09/28/2018 | Claimant(s): Elide Corporation Claimant Lawyers(s): Mauricio S. Beugelmans Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Audette Paul Morales Arbitrator(s): Robert B. Hansohn, Robert E. Jenks, Aurelio A. Garcia Hearing Site: Los Angeles, CA
| | Expungement |
17-01050 | 02/08/2018 | Claimant(s): Gregory Sain Claimant Lawyers(s): Audette Paul Morales Respondent(s): Joanne Harris, Robert Harris, The Harris Revocable Trust Respondent Lawyers(s): Robert N. Harris Arbitrator(s): Gilbert R. Serota, John J. Fitzpatrick, Benjamin Slomoff Hearing Site: San Francisco, CA
| | Expungement |
11-04279 | 03/05/2013 | Claimant(s): Bank of Nevada Claimant Lawyers(s): Garrett W. Wotkyns Respondent(s): UBS Securities LLC, UBS Financial Services Inc. Respondent Lawyers(s): Audette Paul Morales, Justin DeCamp Arbitrator(s): James H. McAvoy, Steven A. Budin, Ernest F. Modzelewski Hearing Site: Las Vegas, NV
| | Expungement |
09-05737 | 04/15/2011 | Claimant(s): John L. Norris, Vivianne Norris, John L. Norris & Vivianne Norris, JT TEN Claimant Lawyers(s): Christopher T. Vernon Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Audette Paul Morales Arbitrator(s): John F. Allgood Hearing Site: Birmingham, AL
| | Expungement |
09-05006 | 04/06/2011 | Claimant(s): John Dailey Claimant Lawyers(s): Irwin G. Stein Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Audette Paul Morales Arbitrator(s): Herbert L. Brown, Jonathan H. Krotinger, Fern M. Laethem Hearing Site: San Francisco, CA
| | Expungement |
08-04462 | 01/20/2011 | Claimant(s): Alphonse Matt, Alphonse J.Matt,Jr. (Bene) IRA Rollover Claimant Lawyers(s): Thomas F. Shine Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co.. Respondent Lawyers(s): Audette Paul Morales Arbitrator(s): Lawrence J. Welte, James A. Lundberg, Douglas J. Nesbit Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
09-06614 | 06/24/2010 | Claimant(s): Harbor Press. Claimant Lawyers(s): Jason T. Dennett Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Audette Paul Morales Arbitrator(s): Laurie E. Law Hearing Site: Seattle, WA
| | $19,168 |
08-03125 | 05/22/2009 | Claimant(s): Joel W. Carter, IRA, Louise Carter, TTEE for Carter Family Claimant Lawyers(s): Marnie C. Lambert Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Audette Paul Morales Arbitrator(s): Joseph C. Watson Hearing Site: Los Angeles, CA
| | $5,825 |