| 12-00577 | 08/30/2013 | Claimant(s): Dyson Lovell, Robert Einstein
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Bel Air Securities LLC
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): Herbert Murez, Arthur F. Brueggeman, Richard J. Stall
Hearing Site: Los Angeles, CA
|  | Expungement |
| 12-03847 | 08/21/2013 | Claimant(s): Paul Lin
Claimant Lawyers(s): Paul Lin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Frederick N. Bailard
Hearing Site: Los Angeles, CA
| | $2,105 |
| 11-04329 | 08/21/2013 | Claimant(s): Juliet Feinberg, Larry Feinberg
Claimant Lawyers(s): Edward Gartenberg
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michael R. Mitchell, Mario H. Metzger, Janice A. Salter
Hearing Site: Los Angeles, CA
| | $0 |
| 11-03452 | 08/16/2013 | Claimant(s): Betty Saleh, Patrick FitzWilliam
Claimant Lawyers(s): Maxwell M. Blecher
Respondent(s): Wedbush Securities Inc., Edward Wedbush, Michael Gardner, Richard Lanni
Respondent Lawyers(s): Jerry S. Phillips, John Erikson
Arbitrator(s): Robert A. Lombardi, Dennis A. Torres, Robert Dean McKinley
Hearing Site: Los Angeles, CA
| | $435,380 |
| 12-03486 | 08/07/2013 | Claimant(s): The Shirvani Family Trust
Claimant Lawyers(s): Maliheh Shirvani
Respondent(s): Amir Navab, Arash Nassi, Brian Krueger, Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $600 |
| 12-00934 | 08/02/2013 | Claimant(s): Fred Beaton, Fred S. Beaton Revocable Trust 3/30/87
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Brad Stark, Mission Wealth Management, National Planning Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Martin Olinick, Robert C. Forst, Milton N. Gross
Hearing Site: Los Angeles, CA
| | $0 |
| 12-01695 | 07/29/2013 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): John Lindsey
Respondent Lawyers(s): Shirley Hayton
Arbitrator(s): Robert D. Sussin, Efren Cleofe, Herbert Murez
Hearing Site: Los Angeles, CA
| | |
| 11-00469 | 07/22/2013 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): Trevor Rahn
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Alan Stamm, Gary Timothy Haight, Dean Schneider
Hearing Site: Los Angeles, CA
| | |
| 12-02548 | 07/19/2013 | Claimant(s): Invest Financial Corporation
Claimant Lawyers(s): Jacquelyn Mohr
Respondent(s): Andrew Kardish
Respondent Lawyers(s): Andrew Vincent Kardish
Arbitrator(s): Cathleen M. Cobb, Benjamin F. Breslauer, Robert Weston Armstrong
Hearing Site: Los Angeles, CA
| | |
| 13-00246 | 07/10/2013 | Claimant(s): Gagan Dang
Claimant Lawyers(s): Gagan D. Dang
Respondent(s): Capital One Sharebuilder.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | $600 |
