| 11-04810 | 01/24/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Mark Carberry
Respondent(s): Amir Monsefi, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John D. Vaughn, Timothy R. Pestotnik
Arbitrator(s): Robert D. Sussin, Kirtley M. Thiesmeyer, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | |
| 09-03569 | 01/20/2012 | Claimant(s): Lyle W. Swenson, Jr. & Michelle Swenson
Claimant Lawyers(s): Peter K. Rundle
Respondent(s): Wachovia Securities, Craig Riley
Respondent Lawyers(s): Craig Alan Riley, G. Thomas Fleming
Arbitrator(s): Robert A. Lombardi, Kenneth E. Kreh, Mary M. O'Neil
Hearing Site: Los Angeles, CA
|  | $0 |
| 10-02632 | 01/06/2012 | Claimant(s): Kline Enterprises.
Claimant Lawyers(s): Richard M. Layne
Respondent(s): Securities America., Thomas Goodson, William Rice, Brecek & Young Advisors.
Respondent Lawyers(s): Brandon S. Reif, Chad E. Weaver, Terrance DeWald
Arbitrator(s): Ferdinand Schoch, Alexandra M. Linden, Fern M. Laethem
Hearing Site: Los Angeles, CA
| | $0 |
| 11-01351 | 01/04/2012 | Claimant(s): William Brown
Claimant Lawyers(s): Ronald G. Parker
Respondent(s): Arrowhead Investment Center
Respondent Lawyers(s): Richard C. Moore
Arbitrator(s): Herbert Leslie Greenberg, James D. Knotter, Harold K. Hunt
Hearing Site: Los Angeles, CA
| | |
| 10-05437 | 01/03/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Renan I . Sugarman
Respondent(s): Joseph Cacia
Respondent Lawyers(s): Joseph Richard Cacia
Arbitrator(s): Mark S. Priver
Hearing Site: Los Angeles, CA
| | |
| 10-05029 | 01/03/2012 | Claimant(s): Frank Tysen
Claimant Lawyers(s): Timothy Feil
Respondent(s): Lawrence Kirshbaum, Prestige Financial Center.
Respondent Lawyers(s): Larry Kirshbaum, Lawrence Gary Kirshbaum
Arbitrator(s): Larry Edmonson
Hearing Site: Los Angeles, CA
| | $60,469 |
| 11-02260 | 12/30/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Ted Shin
Respondent Lawyers(s): Ted Sung-Woo Shin
Arbitrator(s): Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 11-02549 | 12/30/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen P. Gaster
Respondent(s): Ronald Anglin
Respondent Lawyers(s): Ronald Gene Anglin
Arbitrator(s): Steven Gourley
Hearing Site: Los Angeles, CA
| | |
| 10-00508 | 12/30/2011 | Claimant(s): Christiane Rocco, Michael Rocco
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Debra Reda-Cappos, Crowell, Weedon & Co., Seidler Holdings., The Seidler Companies Incorporated
Respondent Lawyers(s): G. Thomas Fleming, Peter Brown Dolan
Arbitrator(s): Daniel David Kopman, Norman Michael Garland, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02429 | 12/22/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Robert Langley
Respondent Lawyers(s): Robert John Langley
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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