| 13-01995 | 11/17/2015 | Claimant(s): Sean Edrington
Claimant Lawyers(s): Joseph R. Becerra
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Herbert Murez, Benjamin F. Breslauer, Brant Jackson Griffin
Hearing Site: Los Angeles, CA
| | |
| 14-01220 | 10/28/2015 | Claimant(s): Colleen Levin, Jon Levin, Jon & Colleen Levin Trust dd 2/20/91
Claimant Lawyers(s): Michael D. Kennedy
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Larry Edmonson, Herbert Murez, Thomas W. Gregory
Hearing Site: Los Angeles, CA
|  | Expungement |
| 13-02622 | 05/27/2015 | Claimant(s): HSH Family Trust U/A DTD 8/15/2011
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Herbert Murez, Laurent C. Vonderweidt, Richard M. Norman
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-01203 | 01/26/2015 | Claimant(s): Jeffrey Rogers
Claimant Lawyers(s): Harvey C. Berger
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Timothy B. Del Castillo, Trish M. Higgins
Arbitrator(s): Herbert Murez, Nancy J. Spieczny, Vytas Tarulis
Hearing Site: San Diego, CA
| | |
| 13-03153 | 05/29/2014 | Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Fred Mandell
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): Herbert Murez, Salvatore A. Sciortino, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-03601 | 11/25/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Jen Lee
Respondent Lawyers(s): Jen Yung Lee
Arbitrator(s): Herbert Murez, Ralph B. Perry, David S. Harrison
Hearing Site: Los Angeles, CA
| | |
| 12-03098 | 10/03/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Timothy N. Will
Respondent(s): Catherine Sweeney
Respondent Lawyers(s): Catherine Rose Sweeney
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
| | |
| 12-04232 | 10/01/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): Douglas Lounsbury
Respondent Lawyers(s): Douglas Milton Lounsbury
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
| | |
| 12-00577 | 08/30/2013 | Claimant(s): Dyson Lovell, Robert Einstein
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Bel Air Securities LLC
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): Herbert Murez, Arthur F. Brueggeman, Richard J. Stall
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-01695 | 07/29/2013 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): John Lindsey
Respondent Lawyers(s): Shirley Hayton
Arbitrator(s): Robert D. Sussin, Efren Cleofe, Herbert Murez
Hearing Site: Los Angeles, CA
| | |
