| 15-02670 | 08/22/2016 | Claimant(s): Sean Hunter
Claimant Lawyers(s): Sean S Hunter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janell M. Ahnert
Arbitrator(s): Herbert Leslie Greenberg, Anthony D. DeToro, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
| | |
| 14-02615 | 12/29/2015 | Claimant(s): Paul Heimberg, 1650 Sunflower 12, Warminster Business Center TIC 19, Paul A. Heimberg Trust dated Aug.22,2007
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Rabinder Sekhon, Cincinnati Analysts.
Respondent Lawyers(s): Jeffrey E. Fields, Jordan D. Maglich
Arbitrator(s): Herbert Leslie Greenberg, Arthur T. Berggren, Robert Dean McKinley
Hearing Site: Los Angeles, CA
|  | Expungement |
| 12-02964 | 10/03/2014 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Jeffrey N. Goldberg
Respondent(s): Lawrence Digioia, Matthew Celenza
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): Herbert Leslie Greenberg, Theresa Y. Hu, Richard J. Stall
Hearing Site: Los Angeles, CA
| | |
| 13-00532 | 04/16/2014 | Claimant(s): Lingo Family Trust
Claimant Lawyers(s): E. Anthony Reguero
Respondent(s): Jim Lund, Robert Tweed, Capwest Securities., United Securities Alliance.
Respondent Lawyers(s): Dale K. Hall, H Thomas Fehn, Michael Jones
Arbitrator(s): Herbert Leslie Greenberg, Joseph Winter, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | $0 |
| 12-01393 | 04/09/2014 | Claimant(s): John Arzoian, Linda Fass
Claimant Lawyers(s): John Arzoian
Respondent(s): Marquis Financial Services.
Respondent Lawyers(s): Art Okun
Arbitrator(s): Herbert Leslie Greenberg, Arthur F. Brueggeman, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | $5,808 |
| 11-01351 | 01/04/2012 | Claimant(s): William Brown
Claimant Lawyers(s): Ronald G. Parker
Respondent(s): Arrowhead Investment Center
Respondent Lawyers(s): Richard C. Moore
Arbitrator(s): Herbert Leslie Greenberg, James D. Knotter, Harold K. Hunt
Hearing Site: Los Angeles, CA
| | |
| 10-01149 | 06/10/2011 | Claimant(s): Ellen Brown
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Neuberger Berman LLC
Respondent Lawyers(s): Mitchell Albert, Tara A. LaClair
Arbitrator(s): Herbert Leslie Greenberg, Vincent J. Natoli, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | $0 |
| 06-03849 | 07/10/2009 | Claimant(s): Barry Ross
Claimant Lawyers(s): Harvey R. Friedman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Herbert Leslie Greenberg, Michael W. Burnett, George L. Tindall
Hearing Site: Los Angeles, CA
| | |
