| 12-00384 | 11/20/2012 | Claimant(s): Justin Paperny
Claimant Lawyers(s): Brian D Boydston
Respondent(s): Christine Kreps, Damon Johnson, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David Maurer, Eric A. Herzog
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-04125 | 11/20/2012 | Claimant(s): Matt Correia, Dapelo & Correia Capital Investors
Claimant Lawyers(s): Matt Correia
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Alan Stamm, Theodore G. Bradpiece, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $0 |
| 11-01507 | 11/19/2012 | Claimant(s): Karen Gragirena, Melchor Gragirena
Claimant Lawyers(s): Howard B. Miller
Respondent(s): Catherine Card, Gabriel Woodward, Banc of America Investment Services Inc., Thomas Woodward
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Walter S. Weiss, Daniel David Kopman, George Frederick Garris
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04711 | 11/16/2012 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Steven Lyga
Respondent Lawyers(s): Steven Andrew Lyga
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 12-00350 | 11/16/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Alvern Vom Steeg
Respondent Lawyers(s): Alvern Henry Vom Steeg
Arbitrator(s): Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
| | |
| 10-04585 | 11/16/2012 | Claimant(s): Howard Snyder, Karen Snyder
Claimant Lawyers(s): Leonard Steiner
Respondent(s): Debra Reda-Cappos, Crowell, Weedon & Co.
Respondent Lawyers(s): Kasumi Takahashi
Arbitrator(s): Arthur F. Brueggeman, James M. Goldberg, Brent J. Rosenbaum
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04747 | 11/08/2012 | Claimant(s): John Stern, Karen Stern, The Stern Family Trust dtd 11/5/00
Claimant Lawyers(s): Daniel Carlson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Jeffrey L. Malek
Hearing Site: Los Angeles, CA
| | $213 |
| 12-00775 | 11/07/2012 | Claimant(s): Alireza Shayan
Claimant Lawyers(s): Alireza Shayan
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Richard B. Davis
Arbitrator(s): Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
| | |
| 10-02107 | 11/06/2012 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Jeffrey N. Goldberg
Respondent(s): Zamir Siddiqi
Respondent Lawyers(s): Richard D. Burstein
Arbitrator(s): Robert J. Ruben, Anita Rae Shapiro, Stephen Gary Holmes
Hearing Site: Los Angeles, CA
| | |
| 11-01488 | 11/06/2012 | Claimant(s): Michael Davis, IRA Resources Inc. fbo Michael S. Davis
Claimant Lawyers(s): John K. Saur
Respondent(s): Curtis Sathre, John Schooler, Warren Horney, WFP Securities
Respondent Lawyers(s): David Maurer
Arbitrator(s): Martin Mandel, Mary L. Williams, Brent J. Rosenbaum
Hearing Site: Los Angeles, CA
| | Expungement |
