| 11-04684 | 07/09/2013 | Claimant(s): NNN Las Colinas Highlands 15, Morse-Huey Revocable Trust dated 5/10/05
Claimant Lawyers(s): David Liebrader
Respondent(s): Allen Minassian, Eric Babaian
Respondent Lawyers(s): Jeffrey Compton
Arbitrator(s): Barbara M. Zak, Anita Rae Shapiro, Peter J Cohen
Hearing Site: Los Angeles, CA
|  | Expungement |
| 12-02933 | 07/09/2013 | Claimant(s): Marianne Baldwin
Claimant Lawyers(s): Irwin Stein
Respondent(s): Mark Van Mourick, Gramercy Securities., Optivest.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michael G. Clark, Christopher J. Rogers, Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-01386 | 07/03/2013 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Joseph Buchanan
Respondent Lawyers(s): Joseph Buchanan
Arbitrator(s): Mark S. Priver, David W. Dresnick, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | |
| 12-01753 | 07/02/2013 | Claimant(s): Christianne Meier
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Patrick DiGiacomo, Newport Coast Securities.
Respondent Lawyers(s): Dan A. Druz
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $45,860 |
| 12-03446 | 06/19/2013 | Claimant(s): Constantine Koukos, Morgan Stanley
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Mark Ellison Glover
Respondent Lawyers(s): Mark Ellison Glover
Arbitrator(s): Robert F. Saint-Aubin, Daniel David Kopman, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04327 | 06/18/2013 | Claimant(s): Marguerite Arora, Raveen Arora, The Arora Family Trust
Claimant Lawyers(s): Gerard P. Fox
Respondent(s): Chuck Roberts, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Herbert Murez, Thomas R. Watkins, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | $205,028 |
| 12-03569 | 06/12/2013 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jonathan Kramer
Respondent(s): Robert Johnson
Respondent Lawyers(s): Robert Leland Johnson
Arbitrator(s): Alvin S. Milder
Hearing Site: Los Angeles, CA
| | |
| 09-05899 | 06/03/2013 | Claimant(s): Paul Gomez
Claimant Lawyers(s): Aimee E. Dominguez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Respondent Lawyers(s): Andrew M. DeLucia, Michael J. Fortunato
Arbitrator(s): Laurent C. Vonderweidt, Joan Clay Manley, Frank Centofanti
Hearing Site: Los Angeles, CA
| | |
| 11-03575 | 06/03/2013 | Claimant(s): Torrey Pines Securities.
Claimant Lawyers(s): Michael Jacobs
Respondent(s): Adam Schwartz, Charles Schwab & Co..
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): James R. Duncan, Victoria E. Johnson, David W. Casey
Hearing Site: Los Angeles, CA
| | |
| 12-01501 | 05/29/2013 | Claimant(s): Stan Dreyfuss
Claimant Lawyers(s): Leonard Steiner
Respondent(s): RBC Capital Markets LLC, RBC Capital Markets Corporation, RBC Dain Rauscher.
Respondent Lawyers(s): Linda Claxton
Arbitrator(s): James R. Duncan, Elliott Zachary Seff, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
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