13-01632 | 12/20/2013 | Claimant(s): Ko Pu Claimant Lawyers(s): Ko Fei Pu Respondent(s): Firstrade Securities Respondent Lawyers(s): Peter Gschweng Arbitrator(s): Constance Ellen Boukidis Hearing Site: Los Angeles, CA
| | $175 |
12-03175 | 12/10/2013 | Claimant(s): Walter Schild Claimant Lawyers(s): Arthur S. Leider Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Judy Louie Arbitrator(s): Joyce L. Hurley, Constance Ellen Boukidis, Owen Frances Hearing Site: Los Angeles, CA
| | Expungement |
11-01934 | 12/09/2013 | Claimant(s): Stacy Stripling, Love Investments, Matisse Investments Claimant Lawyers(s): Stacy Stripling Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Gordon C. Young Arbitrator(s): Walter S. Weiss, Elliott David Finkel, Olivia J. Valentine Hearing Site: Los Angeles, CA
| | Expungement |
10-04407 | 12/06/2013 | Claimant(s): Guadalupe Sandoval, Javier Chavez, Jose Fuentes, Maria Conchita Alonso, Roberto I. Nogales Claimant Lawyers(s): Joseph C. Peiffer Respondent(s): Rafael Sanchez, Fidelity Brokerage Services LLC Respondent Lawyers(s): Kenneth C. Mennemeier, Rafael R. Sanchez Arbitrator(s): Michael D. Harrison, Neil S. Jasper, Daniel Su Hearing Site: Los Angeles, CA
| | Stipulated Award |
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 |
13-00187 | 12/03/2013 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Audette Paul Morales Respondent(s): Barry Belmont, Gordon Belmont, Lock Haven Industrial Park Inc., Towne Center Properties Inc., JLB/JAB Limited Partnership, GST Exempt Marital Trust, GST Exempt Residuary Trust, GST Non-Exempt Marital Trust Respondent Lawyers(s): Barry Belmont, Gordon L. Belmont Arbitrator(s): David J. Anderson, Laurent C. Vonderweidt, Karen A. Lockwood Hearing Site: Los Angeles, CA
| | Expungement |
12-01937 | 11/29/2013 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Timothy N. Will Respondent(s): Brian Matz Respondent Lawyers(s): Christine E. Goodrich Arbitrator(s): Mark S. Priver, Edward Banian, Richard M. Norman Hearing Site: Los Angeles, CA
| | |
13-00010 | 11/26/2013 | Claimant(s): Steven Brahy Claimant Lawyers(s): Steven Brahy Respondent(s): Chase Investment Services Corp. Respondent Lawyers(s): Jeffrey S. Dunlap Arbitrator(s): Melvin S. Feldman, Michael M. Perrigue, Olivia J. Valentine Hearing Site: Los Angeles, CA
| | |
12-03601 | 11/25/2013 | Claimant(s): U.S. Bancorp Investments. Claimant Lawyers(s): Dianne Baquet Smith Respondent(s): Jen Lee Respondent Lawyers(s): Jen Yung Lee Arbitrator(s): Herbert Murez, Ralph B. Perry, David S. Harrison Hearing Site: Los Angeles, CA
| | |
11-04495 | 11/19/2013 | Claimant(s): Mark Myden, L.A. Sports Productions Inc. Claimant Lawyers(s): Marc X. LoPresti Respondent(s): Wells Fargo Advisors, Wells Fargo Investments, Nicholas Corso Respondent Lawyers(s): Jay M. Spillane, Thomas F. Kopshever Arbitrator(s): James Warren Hill, Ralph B. Perry, Michael R. Diliberto Hearing Site: Los Angeles, CA
| | Expungement |