| 20-03672 | 04/06/2021 | Claimant(s): Hans Hoehn
Claimant Lawyers(s): Nathan Lamb
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Gregory Douglas Stone
Hearing Site: Los Angeles, CA
| | |
| 19-03757 | 08/17/2020 | Claimant(s): Matthew Lum
Claimant Lawyers(s): Michael Bessette
Respondent(s): Girard Securities.
Respondent Lawyers(s): Jeremy C. Wooden
Arbitrator(s): Gregory Douglas Stone
Hearing Site: Los Angeles, CA
| | |
| 19-02981 | 07/13/2020 | Claimant(s): Brenda Rossman
Claimant Lawyers(s): Adam Gana
Respondent(s): Investment Architects.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Mark Alan Sevigny, Gregory Douglas Stone, Carolyn Renee Payne
Hearing Site: Los Angeles, CA
|  | Dismissed by Rule 12206/12504 |
| 14-02368 | 10/05/2017 | Claimant(s): Myron Allen, Myron Allen IRA
Claimant Lawyers(s): Thomas Gruenbeck
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Richard M. Norman, Gregory Douglas Stone, Holly Banafsheh
Hearing Site: Los Angeles, CA
| | $0 |
| 16-01788 | 06/30/2017 | Claimant(s): Ryan Flynn
Claimant Lawyers(s): Kristopher P Diulio
Respondent(s): Edward Jones
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Harvey C. Flodin, Robert B. Hansohn, Gregory Douglas Stone
Hearing Site: Los Angeles, CA
| | |
| 12-02414 | 12/02/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Daren A. Luma, Mauricio Beugelmans
Respondent(s): Matthew Celenza
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): George L. Tindall, Ronald F. Rybandt, Gregory Douglas Stone
Hearing Site: Los Angeles, CA
| | |
| 13-02039 | 06/19/2014 | Claimant(s): Ruth Levine, Ruth R. Levine Living Trust
Claimant Lawyers(s): Eric A. Woosley
Respondent(s): Morgan Stanley & Co., Stephen Kally
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Robert A. Lombardi, Richard M. Norman, Gregory Douglas Stone
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00986 | 12/21/2012 | Claimant(s): Mansour Matloob, Mansour Matloob Trust dtd 10/08/2002
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): John Marshall, RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Ralph B. Perry, Peter J Cohen, Gregory Douglas Stone
Hearing Site: Los Angeles, CA
| | Expungement |
