10-05701 | 11/14/2012 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Devin A. Donohue Respondent(s): James Cave Respondent Lawyers(s): Montgomery G. Griffin Arbitrator(s): Judith M. Rosenberg, Nancy Hutt, William J. Petzel Hearing Site: San Francisco, CA
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11-00633 | 06/25/2012 | Claimant(s): Ryan Romines Claimant Lawyers(s): Montgomery G. Griffin Respondent(s): Joseph Gavigan Respondent Lawyers(s): Joseph T. Gavigan Arbitrator(s): Reed H. Bement, William Ziering, Douglas J. Pavese Hearing Site: San Francisco, CA
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11-02505 | 05/24/2012 | Claimant(s): Barbara Roberts, Joe Roberts, Joe D. Roberts IRA Claimant Lawyers(s): Montgomery G. Griffin Respondent(s): Wells Fargo Advisors, Fidelity Brokerage Services LLC Respondent Lawyers(s): Colleen A. Hankins, Judy Louie Arbitrator(s): Joseph C. Watson, Robert Allan Klein, Cynthia Ruth Saffir Hearing Site: Los Angeles, CA
| | Expungement |
10-05242 | 06/27/2011 | Claimant(s): Morgan Stanley Claimant Lawyers(s): Timothy N. Will Respondent(s): Kurtis Linn Respondent Lawyers(s): Montgomery G. Griffin Arbitrator(s): James D. Knotter Hearing Site: Los Angeles, CA
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09-06555 | 02/14/2011 | Claimant(s): Robert N. Stephens Living Trust Claimant Lawyers(s): Montgomery G. Griffin Respondent(s): UnionBanc Investment Services Respondent Lawyers(s): G. Thomas Fleming Arbitrator(s): Richard M. Norman, Robert C. Albini, Anna Marie Turco Hearing Site: Los Angeles, CA
| | Expungement |
09-01371 | 12/23/2010 | Claimant(s): MF Global Inc. Claimant Lawyers(s): John W. Cotton Respondent(s): Sohan Dua Respondent Lawyers(s): Montgomery G. Griffin Arbitrator(s): Milton N. Gross, Robert C. Albini, Andrea Luise Halperin Hearing Site: Los Angeles, CA
| | $0 |
08-00049 | 04/13/2010 | Claimant(s): Marie Atake, Pat Atake Claimant Lawyers(s): Montgomery G. Griffin Respondent(s): Legend Merchant Group., Strasbourger Pearson Tulcin Wolff. Respondent Lawyers(s): Joseph Pastore, Ron Moschetta Arbitrator(s): Gerald F. Corrigan, Rosa Linda Guadarrama, Stephen Malcolm Squire Hearing Site: Los Angeles, CA
| | $112,859 |
08-01771 | 08/27/2009 | Claimant(s): Cheryl Gans, Jody Gans, Louis Gans Claimant Lawyers(s): Montgomery G. Griffin Respondent(s): Wedbush Securities Inc., Wachovia Securities, Debbie Saleh, Joseph Rubenstein, UBS Financial Services Inc. Respondent Lawyers(s): Debbie Saleh, John W. Stenson, Michael J. Abbott, Payne L. Templeton Arbitrator(s): Alan Stamm, Robert J. Ruben, Karen J. Burneff Hearing Site: Los Angeles, CA
| | Expungement |
07-01521 | 03/09/2009 | Claimant(s): Robert Shepherd Claimant Lawyers(s): Montgomery G. Griffin Respondent(s): Marshall Field, Emmett A Larkin Company., Southwest Securities. Respondent Lawyers(s): Brandon S. Reif, Jonathan D. Neerman, Marshall Field Arbitrator(s): William J. Adams, Arthur T. Berggren, Daniel R. Brush Hearing Site: Los Angeles, CA
| | Expungement |
06-04695 | 08/29/2008 | Claimant(s): Flavia LoCoco Claimant Lawyers(s): Montgomery G. Griffin Respondent(s): WAMU Investments. Respondent Lawyers(s): Jason S. Mills Arbitrator(s): Ralph H. Erickson, Holly Banafsheh, Steven K. Ogata Hearing Site: Los Angeles, CA
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