| 12-02471 | 11/06/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Anthony Carter
Respondent Lawyers(s): Anthony E. Carter
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 11-02120 | 03/01/2012 | Claimant(s): J. Charles and Loena P. Boling
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos Provencio
Arbitrator(s): Erik R. Siering
Hearing Site: Birmingham, AL
|  | $213 |
| 09-02583 | 11/29/2011 | Claimant(s): Jose Castaneda, Felicitas Castaneda
Claimant Lawyers(s): Jose Castaneda
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Erik R. Siering, David L. Maislen, Henry Marris Wollman
Hearing Site: Los Angeles, CA
| | $0 |
| 08-04776 | 11/10/2011 | Claimant(s): Dudley Pepp
Claimant Lawyers(s): Michael St. Denis
Respondent(s): Bertrand Ginsberg, Russell Grossman, Sandra Morelli, Alliancebernstein Investments., Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Erik R. Siering, Robert E. Lawson, Robert Edward Koondel
Hearing Site: Los Angeles, CA
| | $0 |
| 11-01724 | 09/20/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Gregory Holmes
Respondent Lawyers(s): Gregory P. Holmes
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 09-05926 | 03/30/2011 | Claimant(s): Amnon Feffer, Solomon and Bessie Feffer Trusts
Claimant Lawyers(s): Joseph S. Fogel
Respondent(s): Jonathan Feffer, Buckman, Buckman & Reid.
Respondent Lawyers(s): Jonathan Feffer, Mark J. Astarita
Arbitrator(s): James H. Frank, Erik R. Siering, Russell T. Doe
Hearing Site: Los Angeles, CA
| | $0 |
| 10-02023 | 03/21/2011 | Claimant(s): Tatsuko Wein
Claimant Lawyers(s): Thomas L. Gourde
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Erik R. Siering, Gerald C. Tambe, Chuba B. Abaelu
Hearing Site: Los Angeles, CA
| | $60,024 |
| 09-02704 | 12/22/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Mark Robles
Respondent Lawyers(s): Mark J. Robles
Arbitrator(s): Erik R. Siering, Janice A. Salter, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | |
| 08-04981 | 10/07/2009 | Claimant(s): Carlo Carrion
Claimant Lawyers(s): Carlo A. Carrion
Respondent(s): Craig Watanabe, Donald Bizub, Jon Hogen, Western International Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Erik R. Siering, Mary M. O'Neil, David Nielsen
Hearing Site: Los Angeles, CA
| | |
| 04-08019 | 12/16/2008 | Claimant(s): The Kramer Family Trust dtd 05/25/77
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | $0 |
