| 16-02710 | 01/19/2018 | Claimant(s): Marcus Nagel, Matthew Nagel
Claimant Lawyers(s): Marcus Nagel
Respondent(s): David Warren, Citigroup Global Markets., UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Adam M. Kauff, Andrew W. Sidman, Denver G. Edwards
Arbitrator(s): Steven Gourley, Howard A. Emirhanian, George Herman Frisch
Hearing Site: Los Angeles, CA
|  | Dismissed by Rule (12200/12201) |
| 15-02423 | 05/03/2016 | Claimant(s): Brad Kalas
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Howard A. Emirhanian, Jeffrey E. Skogsbergh, Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 14-01677 | 12/14/2015 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Watt Webb
Respondent Lawyers(s): Eric M. Epstein
Arbitrator(s): Howard A. Emirhanian, Mark S. Priver, Martin J. Kotowski
Hearing Site: Los Angeles, CA
| | |
| 14-01258 | 11/04/2015 | Claimant(s): Cyrus Tabaz
Claimant Lawyers(s): Geoffrey G Melkonian
Respondent(s): Bradley Chier, J.P. Morgan Securities Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Howard A. Emirhanian, Mark S. Priver, Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | $0 |
| 14-00028 | 10/09/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Steve Sung
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Howard A. Emirhanian, A. Joel Klein, Michael M. Perrigue
Hearing Site: Los Angeles, CA
| | |
| 13-03600 | 04/15/2015 | Claimant(s): Gloria Ruiz, Roberto Ruiz
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Maurice Chelliah, Evolve Securities.
Respondent Lawyers(s): Jason E. Brown, Maurice Joseph Chelliah
Arbitrator(s): Howard A. Emirhanian, Michael D. Harrison, David K. Slay
Hearing Site: Los Angeles, CA
| | $60,000 |
| 10-05092 | 02/26/2014 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Burns
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Howard A. Emirhanian, Martin J. Kotowski, David Nielsen
Hearing Site: Los Angeles, CA
| | |
| 11-00395 | 12/14/2012 | Claimant(s): Michael Sorochinsky, Michael & Lauren Sorochinksky Fam Trust, Werbin Family Trust dtd 10/20/92
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea Greene
Arbitrator(s): Howard A. Emirhanian, Vincent J. Natoli, George L. Tindall
Hearing Site: Los Angeles, CA
| | Expungement |
| 06-04852 | 03/25/2008 | Claimant(s): Capitola Sommer
Claimant Lawyers(s): Richard J. Papst
Respondent(s): Edward Jones
Respondent Lawyers(s): Joseph B. Adams
Arbitrator(s): Howard A. Emirhanian, Mark S. Priver, Jerry Ellner
Hearing Site: Los Angeles, CA
| | |
| 06-00895 | 11/01/2007 | Claimant(s): Debra Reda-Cappos
Claimant Lawyers(s): William Lindsley
Respondent(s): Wachovia Securities, Terry Chase
Respondent Lawyers(s): Michael J. Abbott, Sheryl L. Skibbe
Arbitrator(s): Howard A. Emirhanian, Salvatore A. Sciortino, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | |
