| 12-01217 | 04/08/2014 | Claimant(s): David W. Ramey
Claimant Lawyers(s): Moshe Y. Singer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Norman Cousins Sasamori, James S. Carlson, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
|  | Expungement |
| 09-06371 | 09/25/2013 | Claimant(s): The Anderson Family Trust
Claimant Lawyers(s): Steven M. Goldberg
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Scott E. Rahn
Arbitrator(s): Arthur T. Berggren, Linda L. Drummond, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $0 |
| 11-04614 | 07/22/2013 | Claimant(s): Kenneth Finnegan, Nancy Gouffon, Nancy F. Gouffon, C/F, Kenneth M. Finnegan, IRA, Nancy F. Gouffon IRA, ROTH IRA
Claimant Lawyers(s): Howard B Prossnitz
Respondent(s): Morgan Keegan & Co..
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Julia Rota, Kirtley M. Thiesmeyer, Marvin L. Schuldiner
Hearing Site: Memphis, TN
| | $0 |
| 12-00061 | 06/29/2012 | Claimant(s): Jane C L Goichman Rollover IRA, Henry and Jane Goichman Trust
Claimant Lawyers(s): Jane C. L. Goichman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Diana H. Sur
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $22,524 |
| 11-03699 | 04/04/2012 | Claimant(s): Vinita Wadhwani, Vishin Wadhwani
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Wendy Robinson
Arbitrator(s): Kirtley M. Thiesmeyer, Owen Frances, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 10-04520 | 02/03/2012 | Claimant(s): Margaret Wendt
Claimant Lawyers(s): Jed Gladstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Laurent C. Vonderweidt, Kirtley M. Thiesmeyer, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
| | $0 |
| 10-00603 | 11/29/2011 | Claimant(s): Jane Usher, Samuel Usher, Jackson A. Usher Custodial, Samuel T. Usher Custodial, Jane Ellison Usher Trust of Oct 20, 2000
Claimant Lawyers(s): Mark T. Drooks
Respondent(s): Bambi Holzer, Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee, H Thomas Fehn
Arbitrator(s): Kirtley M. Thiesmeyer, Holly Banafsheh, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | $1,405,390 |
| 10-05023 | 09/19/2011 | Claimant(s): Darrell Huston
Claimant Lawyers(s): William F. Davis
Respondent(s): Valentino Scott, Centaurus Financial.
Respondent Lawyers(s): Dave Lenny
Arbitrator(s): Barbara M. Zak, John Alen DeRosa, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $42,477 |
| 10-03480 | 07/15/2011 | Claimant(s): Nick Shahrestany, Milan Investments
Claimant Lawyers(s): Kevin Gerry
Respondent(s): Brian Murphy, Morgan Stanley
Respondent Lawyers(s): Jonathan D. Robbins
Arbitrator(s): Robert A. Lombardi, Kirtley M. Thiesmeyer, David Nielsen
Hearing Site: Los Angeles, CA
| | $0 |
| 09-05598 | 04/09/2010 | Claimant(s): Michele Morris
Claimant Lawyers(s): Michele Morris
Respondent(s): Sharone Hakman
Respondent Lawyers(s): Vanessa M. Hoffman
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $213 |
