| 14-01176 | 10/01/2014 | Claimant(s): Martin Figueroa
Claimant Lawyers(s): Martin L Figueroa
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Thomas E. Shuck
Hearing Site: Los Angeles, CA
|  | $213 |
| 13-03389 | 06/12/2014 | Claimant(s): UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): James Floyd, Mary Floyd
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Thomas E. Shuck, Christopher J. Rogers, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-02211 | 05/02/2014 | Claimant(s): Olene Miller
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos Enrique Provencio
Arbitrator(s): Thomas E. Shuck
Hearing Site: Jackson, MS
| | $0 |
| 13-01973 | 03/06/2014 | Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McClelland Montgomery
Respondent(s): Mark Klein
Respondent Lawyers(s): Christopher J. Gray
Arbitrator(s): Thomas E. Shuck, Annette Gres Shepherd, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-04001 | 02/27/2014 | Claimant(s): Stanley Poling
Claimant Lawyers(s): Stanley Bruce Poling
Respondent(s): Gregory Kinkead, Centaurus Financial., Kinkead Wealth Management
Respondent Lawyers(s): Adam Bloom, Samuel Edgerton
Arbitrator(s): Thomas E. Shuck
Hearing Site: Las Vegas, NV
| | $0 |
| 11-04489 | 01/25/2013 | Claimant(s): Papell Family Trust v/a/d 8/12/1997
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Thomas E. Shuck, Mario H. Metzger, Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04059 | 10/10/2011 | Claimant(s): David Herman
Claimant Lawyers(s): Lance Kimmel
Respondent(s): Mosaic Capital Securities
Respondent Lawyers(s): Robert Peter Weiss
Arbitrator(s): Thomas E. Shuck
Hearing Site: Los Angeles, CA
| | |
| 09-05645 | 07/13/2011 | Claimant(s): Bobby Panahi
Claimant Lawyers(s): Peter M. Kunstler
Respondent(s): UBS Financial Services Inc., Trevis Rucci
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Thomas E. Shuck, Robert W. Vernon, David Nielsen
Hearing Site: Los Angeles, CA
| | $0 |
| 10-03091 | 05/04/2011 | Claimant(s): Dalton Investments LLC
Claimant Lawyers(s): Jeffrey Wittenberg
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Renee M. Zaytsev
Arbitrator(s): Thomas E. Shuck, Robert J. Ruben, George Frederick Garris
Hearing Site: Los Angeles, CA
| | $250,000 |
| 09-05795 | 03/01/2011 | Claimant(s): Robert Axel, Wilburn McClure
Claimant Lawyers(s): Robert A. Axel, Willburn F. McClure
Respondent(s): Matthew Lowe, Raymond, James & Associates., Michael Magruder
Respondent Lawyers(s): Kelli Bullington
Arbitrator(s): Thomas E. Shuck, Suzanne Viau Chamberlain, Mark A. Levy
Hearing Site: Los Angeles, CA
| | $0 |
