| 11-04551 | 07/06/2012 | Claimant(s): Ning Hu
Claimant Lawyers(s): Ning Hu
Respondent(s): Leo Chien
Respondent Lawyers(s): Leo Li-yuan Chien
Arbitrator(s): Victoria E. Johnson
Hearing Site: Los Angeles, CA
|  | $33 |
| 11-01537 | 07/02/2012 | Claimant(s): Isabella Grace
Claimant Lawyers(s): Isabella Grace
Respondent(s): UBS Financial Services Inc., Robert Higgins
Respondent Lawyers(s): Stefanie M. Wayco
Arbitrator(s): Thomas A. Culbertson, William E. Schneider, Brent Eric Zepke
Hearing Site: Los Angeles, CA
| | $375 |
| 12-00061 | 06/29/2012 | Claimant(s): Jane C L Goichman Rollover IRA, Henry and Jane Goichman Trust
Claimant Lawyers(s): Jane C. L. Goichman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Diana H. Sur
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $22,524 |
| 11-01487 | 06/28/2012 | Claimant(s): Jason Lowther
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Larry Haugaard, Donald A. Duncan, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | |
| 09-04546 | 06/22/2012 | Claimant(s): Soheil Davood
Claimant Lawyers(s): Soheil Davood
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Blaine Smith, Elizabeth A. Copley, Ronald E. Malmfeldt
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04115 | 06/21/2012 | Claimant(s): Lehman Brothers Holdings.
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Kevin Kramer
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Audrey H. Ruben, Karen A. Lockwood, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | |
| 11-03533 | 06/19/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Stephen Wittels
Respondent Lawyers(s): Stephen Wittels
Arbitrator(s): Donald S. Simons
Hearing Site: Los Angeles, CA
| | |
| 12-01190 | 06/12/2012 | Claimant(s): Jeannette Freeman Shapiro Trust
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Andrew Kang, David Maurer, David Smith, Miles Benickes, Milford Stern, Randall Stern
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Howard B. Brown, Robert Alan Merring, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02527 | 06/11/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Goldberg
Respondent(s): George Sinanis
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Gerald C. Tambe, Mary Margaret Bush, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | |
| 11-01812 | 06/08/2012 | Claimant(s): Michael Bullock
Claimant Lawyers(s): Michael Lee Bullock
Respondent(s): Securities America., MFS Fund Distributors.
Respondent Lawyers(s): Frances S. Cohen, Lauren T. Clark
Arbitrator(s): Robert A. Weinman, Joyce L. Hurley, Robert C. Forst
Hearing Site: Los Angeles, CA
| | |
