| 13-03042 | 07/14/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Berman
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Theresa Y. Hu, Robert B. Hansohn, W. Alex King
Hearing Site: Los Angeles, CA
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| 14-02371 | 05/08/2015 | Claimant(s): Brandon Chang, Winifred Sun
Claimant Lawyers(s): Christine A. Page
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Theresa Y. Hu, Karen L. Gold, Milton N. Gross
Hearing Site: Los Angeles, CA
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| 14-00832 | 02/27/2015 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric R. Raphan
Respondent(s): Robert Chan
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Elliott David Finkel, Theresa Y. Hu, Richard A. Stephens
Hearing Site: Los Angeles, CA
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| 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
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| 06-00240 | 06/10/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Patricia Tsipras
Respondent(s): Mark Rossel
Respondent Lawyers(s): Erwin J. Shustak
Arbitrator(s): Dean Schneider, Theresa Y. Hu, David S. Harrison
Hearing Site: Los Angeles, CA
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