| 13-00947 | 04/02/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John Erikson
Respondent(s): Bambi Holzer
Respondent Lawyers(s): Rex Julian Beaber
Arbitrator(s): Anita Rae Shapiro, Janice A. Salter, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | |
| 13-02212 | 03/19/2014 | Claimant(s): Joseph A. Miller and Michele P. Miller,
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos Enrique Provencio
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Jackson, MS
|  | $0 |
| 12-02249 | 03/13/2014 | Claimant(s): Diana Sigalos, NFS/FMTC Rollover IRA FBO Anthony Sigalo, Anthony Sigalos Separate Property Trust, Sigalos Family Trust U/A 8/1/05
Claimant Lawyers(s): Anthony Sigalos, Diana Sigalos
Respondent(s): Aletheia Securities.
Respondent Lawyers(s): Roger B. Peikin
Arbitrator(s): Anita Rae Shapiro, Mark Alan Sevigny, John Suciu
Hearing Site: Los Angeles, CA
| | $876,780 |
| 11-04684 | 07/09/2013 | Claimant(s): NNN Las Colinas Highlands 15, Morse-Huey Revocable Trust dated 5/10/05
Claimant Lawyers(s): David Liebrader
Respondent(s): Allen Minassian, Eric Babaian
Respondent Lawyers(s): Jeffrey Compton
Arbitrator(s): Barbara M. Zak, Anita Rae Shapiro, Peter J Cohen
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-01753 | 07/02/2013 | Claimant(s): Christianne Meier
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Patrick DiGiacomo, Newport Coast Securities.
Respondent Lawyers(s): Dan A. Druz
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $45,860 |
| 12-02996 | 05/20/2013 | Claimant(s): Stephen Epstein
Claimant Lawyers(s): Stephen S. Epstein
Respondent(s): Brokersxpress LLC
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 12-00384 | 11/20/2012 | Claimant(s): Justin Paperny
Claimant Lawyers(s): Brian D Boydston
Respondent(s): Christine Kreps, Damon Johnson, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David Maurer, Eric A. Herzog
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02107 | 11/06/2012 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Jeffrey N. Goldberg
Respondent(s): Zamir Siddiqi
Respondent Lawyers(s): Richard D. Burstein
Arbitrator(s): Robert J. Ruben, Anita Rae Shapiro, Stephen Gary Holmes
Hearing Site: Los Angeles, CA
| | |
| 11-00621 | 08/28/2012 | Claimant(s): Deborah Schwartz
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Thomas Kim, Broadhaven Capital Partners, Pritzker Company, The UNX Companies LLC, UNX LLC
Respondent Lawyers(s): Michael E. Grenert, Todd R. Wulffson
Arbitrator(s): Montgomery G. Griffin, Anita Rae Shapiro, Daniel David Kopman
Hearing Site: Los Angeles, CA
| | |
| 10-05367 | 05/04/2012 | Claimant(s): William Condon
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Reuven Enterprises Sec. Division
Respondent Lawyers(s): Michael Huberman
Arbitrator(s): Robert W. Vernon, Anita Rae Shapiro, James M. Goldberg
Hearing Site: Los Angeles, CA
| | Expungement |
