| 12-01785 | 03/12/2013 | Claimant(s): William Petersen
Claimant Lawyers(s): William Poulis Petersen
Respondent(s): Christopher Vinck, David Swoish, Great Pacific Securities
Respondent Lawyers(s): Christopher Vincent Vinck, David T. Swoish, David Thomas Swoish
Arbitrator(s): Harris E. Kershnar
Hearing Site: Los Angeles, CA
| | |
| 12-00027 | 03/08/2013 | Claimant(s): Bette Kelly, Bette J. Kelly Trust
Claimant Lawyers(s): Steven B. Lehat
Respondent(s): Lance Marcus, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Barbara M. Zak, Chester L. Firestein, Robin Carr
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-01377 | 03/04/2013 | Claimant(s): Scott Teter
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Elizabeth A. Copley, Herbert Murez, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04157 | 02/26/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Kenneth C. Mennemeier
Respondent(s): Anil Shah, Preeti Shah
Respondent Lawyers(s): Hari S. Lal
Arbitrator(s): Michael R. Mitchell
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 11-04786 | 02/25/2013 | Claimant(s): Howard M. and Mary Ann L. Singer Trust
Claimant Lawyers(s): Joshua M. Baskin
Respondent(s): Chien Nguyen, Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-03419 | 02/22/2013 | Claimant(s): Newport Coast Securities.
Claimant Lawyers(s): Irving M. Einhorn
Respondent(s): Deborah Scott, Joseph Mangiapane, Kathleen McPherson, Stephen Washburn
Respondent Lawyers(s): Irving M. Einhorn, Montgomery G. Griffin
Arbitrator(s): Edward J. Costello, Keith Schulner, Michael John Florio
Hearing Site: Los Angeles, CA
| | |
| 12-02286 | 02/08/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Eric J. Glassman
Respondent(s): Paul Bellenbaum
Respondent Lawyers(s): Paul W. Bellenbaum
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | $0 |
| 12-00289 | 02/06/2013 | Claimant(s): Alison Kaylor
Claimant Lawyers(s): Alison Jane Kaylor
Respondent(s): Chase Investment Services Corp., Ryan Bible
Respondent Lawyers(s): Matthew T. Wholey
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | $213 |
| 11-01265 | 01/31/2013 | Claimant(s): The Eckenrod Living Trust Dtd. 5/12/87
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04735 | 01/31/2013 | Claimant(s): Flora Tisherman, Sanford Tisherman, Flora J. Tisherman IRA, Sanford A. Tisherman IRA
Claimant Lawyers(s): Glenn J. Campbell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch & Co..
Respondent Lawyers(s): Spencer S. Persson
Arbitrator(s): Daniel David Kopman, Janice A. Salter, Stephen Laughlin Eddy
Hearing Site: Los Angeles, CA
| | $300 |
