| 22-00412 | 01/10/2023 | Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Ronald L. Cameron, Blaine Smith, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 13-03231 | 02/04/2015 | Claimant(s): Lila Luttrell
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): George Bokios, Regal Securities.
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Blaine Smith, Richard J. Stall, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
|  | Expungement |
| 12-03816 | 09/16/2014 | Claimant(s): Harold Palacios
Claimant Lawyers(s): Harold Palacios
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Theresa M. Marchlewski
Arbitrator(s): Blaine Smith, Mark S. Priver, Kenneth E. Owen
Hearing Site: Los Angeles, CA
| | |
| 12-00951 | 01/06/2014 | Claimant(s): Deborah Shishko, Robert Shishko, John Shishko Revocable Trust, Robert Shishko Trust
Claimant Lawyers(s): J. Christopher Wehrle, Marc L. Godino
Respondent(s): Elliott Moskowitz, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Robert J. Ruben, Blaine Smith, David L. Maislen
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-04546 | 06/22/2012 | Claimant(s): Soheil Davood
Claimant Lawyers(s): Soheil Davood
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Blaine Smith, Elizabeth A. Copley, Ronald E. Malmfeldt
Hearing Site: Los Angeles, CA
| | $0 |
| 09-02586 | 12/02/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Nils Barrett
Respondent Lawyers(s): Steven M. Harris
Arbitrator(s): Blaine Smith, Linda L. Drummond, Robert Elman
Hearing Site: Los Angeles, CA
| | |
| 09-00047 | 03/29/2010 | Claimant(s): S. L. Reed & Company, Windward Capital Management Co.
Claimant Lawyers(s): Daniel K. Dik
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): Blaine Smith, J. Jean Elliott, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | |
| 08-00450 | 08/28/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Robert Lobel
Respondent Lawyers(s): David R. Hagen
Arbitrator(s): Philip W. Burge, Blaine Smith, Christine A. Page
Hearing Site: Los Angeles, CA
| | |
| 07-02566 | 08/29/2008 | Claimant(s): GunnAllen Financial.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Michael Poutre, II, Shlomi Eplboim
Respondent Lawyers(s): Michael Poutre, Shlomi Eplboim
Arbitrator(s): Robert Taylor, Blaine Smith, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
| | |
| 06-04210 | 09/05/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas Volz
Respondent(s): Javier Ruedas
Respondent Lawyers(s): Dean R. Kitano
Arbitrator(s): Robert D. Sussin, Blaine Smith, Dennis A. Torres
Hearing Site: Los Angeles, CA
| | |
