| 11-03590 | 12/18/2012 | Claimant(s): Sheryl Elshire, The Sherdon Trust
Claimant Lawyers(s): John M. Adsit
Respondent(s): Edward Glenn, Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Gerald F. Corrigan, Alan M. Rosen, Seymour Schoen
Hearing Site: Los Angeles, CA
|  | Expungement |
| 12-01319 | 12/18/2012 | Claimant(s): Arvind Kochar
Claimant Lawyers(s): Mahendr S. Kochar
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $0 |
| 11-02874 | 12/17/2012 | Claimant(s): Donna Berry
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Jeffrey E. Skogsbergh, Elliott David Finkel, Herbert Murez
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00395 | 12/14/2012 | Claimant(s): Michael Sorochinsky, Michael & Lauren Sorochinksky Fam Trust, Werbin Family Trust dtd 10/20/92
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea Greene
Arbitrator(s): Howard A. Emirhanian, Vincent J. Natoli, George L. Tindall
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04059 | 12/07/2012 | Claimant(s): Gary Campanaro, Lorraine Campanaro
Claimant Lawyers(s): Jan Graham
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Steven Gourley
Hearing Site: Los Angeles, CA
| | $29,798 |
| 11-03066 | 11/30/2012 | Claimant(s): Arlene Hazelrigg
Claimant Lawyers(s): Edward S. Gelfand
Respondent(s): Morgan Stanley & Co., Steven Vitale
Respondent Lawyers(s): Jonathan D. Robbins, Thomas P. Briody
Arbitrator(s): Roberta Haft, Benjamin F. Breslauer, David W. Dresnick
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-00936 | 11/29/2012 | Claimant(s): Fariba Madison
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Rita Kennann
Respondent Lawyers(s): Arline P. Vezina
Arbitrator(s): A. Joel Klein, Joyce L. Hurley, Karen A. Lockwood
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-05484 | 11/28/2012 | Claimant(s): Morgan Stanley, Morgan Stanley & Co.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Brittney Seeliger
Respondent Lawyers(s): Brittney Rae Seeliger
Arbitrator(s): Mark S. Priver
Hearing Site: Los Angeles, CA
| | |
| 12-00973 | 11/28/2012 | Claimant(s): Robert Zepfel
Claimant Lawyers(s): Robert J Zepfel
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg Scanlon
Arbitrator(s): Elizabeth A. Copley
Hearing Site: Los Angeles, CA
| | $5,600 |
| 11-04821 | 11/21/2012 | Claimant(s): James Leiphardt, Peggy Leiphardt
Claimant Lawyers(s): Eric A. Woosley
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kamao C. Shaw
Arbitrator(s): Nancy G. Harris
Hearing Site: Los Angeles, CA
| | $50,000 |
