| 11-03699 | 04/04/2012 | Claimant(s): Vinita Wadhwani, Vishin Wadhwani
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Wendy Robinson
Arbitrator(s): Kirtley M. Thiesmeyer, Owen Frances, Michael R. Diliberto
Hearing Site: Los Angeles, CA
|  | Dismissed by Rule 12206 |
| 09-03865 | 03/30/2012 | Claimant(s): Brandon Rockow
Claimant Lawyers(s): Brandon D. Rockow
Respondent(s): Jeffrey DiCarlo, Patrick DiCarlo, Channel Point Partners
Respondent Lawyers(s): Jeffrey DiCarlo
Arbitrator(s): Steven A. Wawra, Robert C. Albini, Randall N. Kirk
Hearing Site: Los Angeles, CA
| | |
| 11-00479 | 03/29/2012 | Claimant(s): Mickey Schwarz, Mickey Schwarz IRA, The Schwarz Living Trust
Claimant Lawyers(s): Marc Schwarz, Mickey Schwarz
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Martin Olinick, Ronald L. Cameron, David W. Dresnick
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-04371 | 03/28/2012 | Claimant(s): Kelly Dunne
Claimant Lawyers(s): Charles W. Brower
Respondent(s): Russell Ruffino, Ruffino & Associates., Transamerica Financial Advisors.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Sandra L. Malek, John Alen DeRosa, David L. Maislen
Hearing Site: Los Angeles, CA
| | $0 |
| 11-03340 | 03/23/2012 | Claimant(s): Patricia Towler
Claimant Lawyers(s): Patricia Ann Towler
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Vanessa M. Hoffman
Arbitrator(s): David W. Casey
Hearing Site: Los Angeles, CA
| | $5,325 |
| 11-02733 | 03/21/2012 | Claimant(s): Jill Carter
Claimant Lawyers(s): Jon E. Drucker
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Brian Harlan
Arbitrator(s): Vaughn Thomas Hale, Roberta Haft, Ted Paul Comfort
Hearing Site: Los Angeles, CA
| | $0 |
| 11-03865 | 03/20/2012 | Claimant(s): Garrett Bland
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Michael Barker
Respondent Lawyers(s): Michael D. Barker
Arbitrator(s): David L. Maislen
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04587 | 03/19/2012 | Claimant(s): Darlene Peterson, Karen Labuda, Sherry Leach-Warth
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Sandra L. Malek, Laurent C. Vonderweidt, Ronald F. Rybandt
Hearing Site: Los Angeles, CA
| | $1,403,500 |
| 11-03864 | 03/16/2012 | Claimant(s): Lisa Detanna
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Harriett Pitts, Thomas R. Pitts Trust
Respondent Lawyers(s): Harriett Pitts
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | Expungement |
| 08-04100 | 03/14/2012 | Claimant(s): Scott Holt, Tracy Austin
Claimant Lawyers(s): Steven M. Goldberg
Respondent(s): Gary Fournier, Citigroup Global Markets.
Respondent Lawyers(s): Michele R. Fron, William A. Hohauser
Arbitrator(s): Robert D. Sussin, Jon A. Bostrom, Arthur T. Berggren
Hearing Site: Los Angeles, CA
| | Expungement |
