| 11-03008 | 09/20/2012 | Claimant(s): Karen Winston TTEE Winston Living Trust
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Robert W. Vernon, Louis R. Eglash, CathyLyn Rossi
Hearing Site: Los Angeles, CA
|  | Expungement |
| 12-01261 | 09/14/2012 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Kent Chung
Respondent Lawyers(s): Michael A. Gould
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | |
| 10-02941 | 09/14/2012 | Claimant(s): Lewis Samuels
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-01224 | 09/12/2012 | Claimant(s): Penny Lipp Family Trust
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Thomas A. Culbertson, Karen J. Burneff, W. Scott Bowersock
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02065 | 09/04/2012 | Claimant(s): William Brown
Claimant Lawyers(s): William E. Brown
Respondent(s): Dave Osborn, TD Ameritrade., Ken Sitnick, Watts Ha, RNC Center Capital Management
Respondent Lawyers(s): Compliance Officer, Dave Osborn, Hollie S. Mason
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | $213 |
| 11-01204 | 08/30/2012 | Claimant(s): Robert Angle, White Pacific Securities.
Claimant Lawyers(s): Michael C. Miller
Respondent(s): Patrick Nelson
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Philip W. Burge, Chester L. Firestein, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | |
| 12-01175 | 08/30/2012 | Claimant(s): Lacey Corbett, Robert Mason
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Fredrick Kish
Respondent Lawyers(s): Fredrick A. Kish
Arbitrator(s): David L. Maislen
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00621 | 08/28/2012 | Claimant(s): Deborah Schwartz
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Thomas Kim, Broadhaven Capital Partners, Pritzker Company, The UNX Companies LLC, UNX LLC
Respondent Lawyers(s): Michael E. Grenert, Todd R. Wulffson
Arbitrator(s): Montgomery G. Griffin, Anita Rae Shapiro, Daniel David Kopman
Hearing Site: Los Angeles, CA
| | |
| 11-03117 | 08/24/2012 | Claimant(s): Roni Arjangravesh
Claimant Lawyers(s): Christine A. Page
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Christopher P. Fisher
Arbitrator(s): Philip W. Burge, David L. Maislen, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 12-00406 | 08/17/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Cary Rosenfeld
Respondent Lawyers(s): Cary Rosenfeld
Arbitrator(s): Walter S. Weiss
Hearing Site: Los Angeles, CA
| | |
