| 13-03042 | 07/14/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Berman
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Theresa Y. Hu, Robert B. Hansohn, W. Alex King
Hearing Site: Los Angeles, CA
| | |
| 13-01387 | 08/19/2014 | Claimant(s): Daniel Cohen, Daniel L. Cohen 1980 Irrevocable Trust
Claimant Lawyers(s): James L. Parks, Thomas J. Meagher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Eric A. Herzog, Michael G. Shannon, Trae D. Meyr
Arbitrator(s): Kenneth E. Owen, W. Alex King, Peggy Jane Fisher
Hearing Site: Los Angeles, CA
|  | Dismissed by Rule 12504 |
| 11-00677 | 05/17/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Zak Shapiro
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): John E. Ohashi, W. Alex King, Erich Daniel Schiefelbine
Hearing Site: Los Angeles, CA
| | |
| 11-01909 | 05/25/2012 | Claimant(s): Rose Kramer, Stanley Kramer, DRG Hendersonville TIC 13 LLC, TIC Ren Meadowlands 31, Mayer & Rose Kramer Inter Vivos Trst Ame, Mayer & Rose Kramer Inter Vivos Trust
Claimant Lawyers(s): Jonah A. Toleno
Respondent(s): Amy Grindstaff, Dale Hall, David Smith, Jeffrey Pridey, Kathleen Heshelow, Larry Behrends, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities., MAM Securities
Respondent Lawyers(s): Corporate Officer, David L. Smith, H Thomas Fehn, Keith E. Grindstaff, Larry Ivan Behrends, Robert C. Rosen
Arbitrator(s): Vincent J. Natoli, Robert F. Saint-Aubin, W. Alex King
Hearing Site: Los Angeles, CA
| | $334,000 |
| 10-02840 | 12/05/2011 | Claimant(s): Estate of Jeanne Smith
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Dean J. Dietrich, W. Alex King, Richard Roger Brewer
Hearing Site: Nashville, TN
| | $0 |
| 10-01114 | 12/02/2011 | Claimant(s): Bill Manuel
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): W. Alex King
Hearing Site: Birmingham, AL
| | $25,000 |
| 09-06722 | 08/02/2011 | Claimant(s): Lon Isaacson, Michael Trerotola, Stephen Trerotola, Lon B. Isaacson Associates
Claimant Lawyers(s): Lon B. Isaacson
Respondent(s): UBS Securities LLC, James Shelburne, Joseph Sulentor, UBS Financial Services Inc., Michael Ladge, Richard Frankel, Shawn Patt, UBS AG
Respondent Lawyers(s): Jeffrey W. Kramer, Kendra Canape
Arbitrator(s): Michael D. Harrison, Robert Elman, W. Alex King
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-00640 | 01/20/2011 | Claimant(s): Lawrence Ngou
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): Lawrence Labine, Dewaay Financial Network, Llc
Respondent Lawyers(s): Alan S. Baskin, Sam Y. Edgerton
Arbitrator(s): Vaughn Thomas Hale, Thomas A. Culbertson, W. Alex King
Hearing Site: Los Angeles, CA
| | $100,000 |
| 10-00012 | 12/31/2010 | Claimant(s): Josephine Wayman
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Securities America., Randall Talbott
Respondent Lawyers(s): Bruce M. Bettigole, Bryan M. Ward
Arbitrator(s): Joseph C. Watson, Joel D. Davidman, W. Alex King
Hearing Site: Los Angeles, CA
| | $1,155,470 |
| 09-03292 | 11/17/2010 | Claimant(s): The RainMaker Financial Co. Pension Plan
Claimant Lawyers(s): Joseph Forman
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): G Thomas Fleming
Arbitrator(s): Robert A. Lombardi, Salvatore A. Sciortino, W. Alex King
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
