| 13-01837 | 01/02/2015 | Claimant(s): Belva Jeanne Shultz Revocable Trust, Karen K. Fry, Atty in Fact
Claimant Lawyers(s): Richard A. Nervig
Respondent(s): John Thornes, Thornes & Associates. Invest Sec
Respondent Lawyers(s): John Thomas Thornes, Stephen M. Oliveira
Arbitrator(s): Michael G. Clark, Benjamin F. Breslauer, Michael John Florio
Hearing Site: Los Angeles, CA
|  | $4,525,120 |
| 11-04733 | 06/16/2014 | Claimant(s): Kwan Yoo
Claimant Lawyers(s): Kwan Kun Yoo
Respondent(s): Mooho Lee, Young Seo, Ace Diversified Capital., Ace Securities.
Respondent Lawyers(s): Marc I. Zussman
Arbitrator(s): David J. Anderson, Erik R. Siering, Michael John Florio
Hearing Site: Los Angeles, CA
| | $0 |
| 11-00691 | 05/06/2014 | Claimant(s): Steven Weber, Kern Family Intervivos Trust DTD 8/9/00
Claimant Lawyers(s): Christopher Kern, Steve Weber
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Benjamin F. Breslauer, Robert B. Hansohn, Michael John Florio
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04820 | 12/06/2013 | Claimant(s): M. Otis, Otis Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph Calabrese
Arbitrator(s): Robert J. Ruben, Michael John Florio, Audrey Lynne Myer
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-03419 | 02/22/2013 | Claimant(s): Newport Coast Securities.
Claimant Lawyers(s): Irving M. Einhorn
Respondent(s): Deborah Scott, Joseph Mangiapane, Kathleen McPherson, Stephen Washburn
Respondent Lawyers(s): Irving M. Einhorn, Montgomery G. Griffin
Arbitrator(s): Edward J. Costello, Keith Schulner, Michael John Florio
Hearing Site: Los Angeles, CA
| | |
| 10-05751 | 04/12/2012 | Claimant(s): Ken Kragen
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Robert W. Vernon, William Lee Krantz, Michael John Florio
Hearing Site: Los Angeles, CA
| | $207,500 |
| 09-00630 | 11/17/2010 | Claimant(s): Wendy Rea
Claimant Lawyers(s): Patricio T.D. Barrera
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles B. Lachaussee
Arbitrator(s): Herbert Murez, Thomas A. Culbertson, Michael John Florio
Hearing Site: Los Angeles, CA
| | |
