| 14-02982 | 09/27/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jennifer L. Tomsen, Tracy L. Gerber
Respondent(s): Audra Lalley
Respondent Lawyers(s): Michael A. Thurman
Arbitrator(s): Barbara M. Zak, Annette Gres Shepherd, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | $0 |
| 16-01227 | 09/26/2016 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): John D. Ellis
Respondent(s): Alina Brindusescu
Respondent Lawyers(s): Alina Brindusescu
Arbitrator(s): Richard J. Stall
Hearing Site: Los Angeles, CA
| | $0 |
| 15-02476 | 09/23/2016 | Claimant(s): Patricia White, William White, The White Living Trust Dated 3/14/1989
Claimant Lawyers(s): David Harrison
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Kendra Canape
Arbitrator(s): Kenneth E. Owen, Joseph Francis Young, Loyd A Wright
Hearing Site: Los Angeles, CA
|  | $0 |
| 16-00722 | 09/16/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas Kopshever
Respondent(s): David Fahey
Respondent Lawyers(s): David John Fahey
Arbitrator(s): Michael John Florio
Hearing Site: Los Angeles, CA
| | $0 |
| 14-02612 | 09/15/2016 | Claimant(s): John Gabay III, Karen Gabay, Gabay Private Trust dated 11/28/06
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Larry Michaels, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman, Kayla S.S. Betbout
Arbitrator(s): Robert B. Hansohn, Richard Lee Fausett, John M Harvey
Hearing Site: Los Angeles, CA
| | $0 |
| 15-01676 | 09/12/2016 | Claimant(s): Jeffrey Ball, Jeffrey D. Ball IRA
Claimant Lawyers(s): Philip M. Aidikoff, Ryan K. Bakhtiari
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Ronald L. Cameron, Constance Ellen Boukidis, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | $262,354 |
| 15-01391 | 08/26/2016 | Claimant(s): John Nahas
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): Nationwide Investment Services Corp
Respondent Lawyers(s): John L. Viola
Arbitrator(s): Richard M. Norman, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | $0 |
| 15-02670 | 08/22/2016 | Claimant(s): Sean Hunter
Claimant Lawyers(s): Sean S Hunter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janell M. Ahnert
Arbitrator(s): Herbert Leslie Greenberg, Anthony D. DeToro, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00887 | 08/10/2016 | Claimant(s): Joanna Cottrell
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Woodridge Capital Portfolio Management
Respondent Lawyers(s): Joshua Horn
Arbitrator(s): Anita Rae Shapiro, Ronald F. Rybandt, Daniel James Yee
Hearing Site: Los Angeles, CA
| | $0 |
| 14-01044 | 08/04/2016 | Claimant(s): Kenneth Blumenfeld
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Jeffrey E. Skogsbergh, Susan B. Gans-Smith, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
| | $0 |
