| 02-07270 | 11/18/2013 | Claimant(s): David Johnston
Claimant Lawyers(s): David Johnston
Respondent(s): Quest Capital Strategies.
Respondent Lawyers(s): Robert T. Lemen
Arbitrator(s): Debra Brothers Self
Hearing Site: Los Angeles, CA
| | |
| 12-00146 | 11/14/2013 | Claimant(s): James Kaczmarek, John Hall, Mary Kaczmarek
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Andrew HorowitzL Financial LLC, Scott Doll, Doll Capital Advisors, The Estate Management Group.
Respondent Lawyers(s): David Markun, Ryan Gustafson
Arbitrator(s): Martin Olinick, Kenneth E. Owen, Neil S. Jasper
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-03980 | 11/08/2013 | Claimant(s): Dwayne Peltier
Claimant Lawyers(s): Joel W. Baruch
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer L. Nutter
Arbitrator(s): G. Thomas Fleming, Elizabeth A. Copley, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | |
| 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
| | |
| 13-00308 | 11/01/2013 | Claimant(s): Paula Lerner
Claimant Lawyers(s): Paula Lerner
Respondent(s): Arda Thomas, Emile Abinader, Citigroup Global Markets., Pershing LLC, CITI Personal Wealth Management
Respondent Lawyers(s): Carissa A. Kranz, Jane L. Myers
Arbitrator(s): Edward J. Costello
Hearing Site: Los Angeles, CA
| | $0 |
| 12-03224 | 10/28/2013 | Claimant(s): Anoshiravan Afrasiabi
Claimant Lawyers(s): Peter F. Musielski
Respondent(s): Marvin Kang, Unionbanc Investment Services
Respondent Lawyers(s): David Tong
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-00279 | 10/23/2013 | Claimant(s): Alex Froloff
Claimant Lawyers(s): Alex Gregory Froloff
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Mack E. McCain
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $3,838 |
| 12-02485 | 10/14/2013 | Claimant(s): Lantaya West Weaver
Claimant Lawyers(s): David Akintimoye
Respondent(s): Jermaine Jamison, Ameriprise Financial Services.
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $0 |
| 12-00578 | 10/09/2013 | Claimant(s): PHK Trust
Claimant Lawyers(s): Kamyar R. Shayan
Respondent(s): David Crist, First Allied Securities., Sii Investments.
Respondent Lawyers(s): Jacquelyn Mohr, Jeffrey K. Compton
Arbitrator(s): Carolyn V. Quadt, Christopher J. Rogers, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-00615 | 10/04/2013 | Claimant(s): Stephen Epstein
Claimant Lawyers(s): Stephen Samuel Epstein
Respondent(s): Duc Tran, Joseph Pates
Respondent Lawyers(s): Duc Tien Tran, Joseph L. Pates
Arbitrator(s): Robert Dean McKinley
Hearing Site: Los Angeles, CA
| | |
