| 14-02337 | 09/24/2015 | Claimant(s): Jay Stein, Jay J. Stein IRA Rollover, Jay J. Stein Retirement Fund dtd 9/1/85
Claimant Lawyers(s): Katrina M. Boice, Ryan K. Bakhtiari
Respondent(s): Northeast Securities., The Benchmark Company.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Robert B. Hansohn, Thomas R. Watkins, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
|  | $126,550 |
| 14-01387 | 09/21/2015 | Claimant(s): Tracy Chen
Claimant Lawyers(s): Laura Sullivan
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trish M. Higgins
Arbitrator(s): James D. Knotter, June McLaughlin, Steven H. Gentry
Hearing Site: Los Angeles, CA
| | |
| 14-00309 | 09/09/2015 | Claimant(s): Laurie Andrews, Robert Andrews, Griffin Capital (Westmont) Investor 21,
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Kevin Shields, Markel Petty, Michael Lynch, Raymond Stovall, Direct Capital Securities., Griffin Capital Securities.
Respondent Lawyers(s): Kenyon Harbison, Markel Dashiell Petty, Michael Van Lynch, Raymond P. Stovall
Arbitrator(s): Richard J. Stall, Peter J Cohen, Barry A. Fisher
Hearing Site: Los Angeles, CA
| | $245,200 |
| 14-01121 | 09/09/2015 | Claimant(s): Joseph Mizrahi, Joseph S. Mizrahi Trust DTD 06/04/1996
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Nancy G. Harris
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-01106 | 08/28/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Wendy R. Hughes
Respondent(s): Carrie Riley
Respondent Lawyers(s): Carrie J. Riley
Arbitrator(s): Gerald F. Corrigan
Hearing Site: Los Angeles, CA
| | |
| 14-00316 | 08/19/2015 | Claimant(s): Anne Kee, James Kee, John McCormick
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Charles Moore, Crucible Capital Group.
Respondent Lawyers(s): Charles J. Moore
Arbitrator(s): Edward J. Costello, Jeffrey Wittenberg, Mark Thomas Risner
Hearing Site: Los Angeles, CA
| | $985,314 |
| 13-02946 | 08/13/2015 | Claimant(s): Laura Rappaport, Richard Rappaport
Claimant Lawyers(s): Adam B. Wolf, Daniel J. Carr
Respondent(s): John Pisapia, Chelsea Financial Services
Respondent Lawyers(s): Theodore C. Peters
Arbitrator(s): Ralph H. Erickson, Audrey H. Ruben, Jeffrey Wittenberg
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-02435 | 08/05/2015 | Claimant(s): Jon Deusenberry
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Morris S. Getzels, Mary M. O'Neil, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-03427 | 07/17/2015 | Claimant(s): DeVonna Murrin, John Murrin
Claimant Lawyers(s): J. Owen Murrin, Joshua H. Sisam
Respondent(s): Steven Olasky, Newcomb And Company
Respondent Lawyers(s): Frederick W. Newcomb, Patrick R. Mahoney
Arbitrator(s): Michael D. Harrison, Kirtley M. Thiesmeyer, W. Scott Bowersock
Hearing Site: Los Angeles, CA
| | $0 |
| 13-03042 | 07/14/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Berman
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Theresa Y. Hu, Robert B. Hansohn, W. Alex King
Hearing Site: Los Angeles, CA
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