13-01429 | 06/25/2014 | Claimant(s): Arnold & Selda Massion Revocable Living Claimant Lawyers(s): Selda Massion Respondent(s): David Williams, Morgan Peabody. Respondent Lawyers(s): David Allen Williams, David Williams Arbitrator(s): Alan Stamm Hearing Site: Los Angeles, CA
| | $15,317 |
13-02039 | 06/19/2014 | Claimant(s): Ruth Levine, Ruth R. Levine Living Trust Claimant Lawyers(s): Eric A. Woosley Respondent(s): Morgan Stanley & Co., Stephen Kally Respondent Lawyers(s): Chan H. Nam Arbitrator(s): Robert A. Lombardi, Richard M. Norman, Gregory Douglas Stone Hearing Site: Los Angeles, CA
| | Expungement |
12-04167 | 06/19/2014 | Claimant(s): Bruce Wasserman, Bruce D. Wasserman OMD., Bruce D. Wasserman IRA Claimant Lawyers(s): Laurie J. Butler Respondent(s): LPL Financial LLC Respondent Lawyers(s): Tom Barnett Arbitrator(s): Robert C. Albini, Terry Lynn Chambless, Carole Helfert Aragon Hearing Site: Los Angeles, CA
| | $0 |
11-02468 | 06/16/2014 | Claimant(s): Pauline Allen, Pauline W. Allen Revocable Trust U/A 1/1 Claimant Lawyers(s): Jonathan W. Evans Respondent(s): Financial West Group, Edward Wentzheimer, UBS Financial Services Inc., M. Krasny, Marc Adelman, Mark Lewis Respondent Lawyers(s): Amy B. Bard, Brent A. Burns, Ryan Probstfeld Arbitrator(s): Michael G. Clark, CathyLyn Rossi, Robert C. Albini Hearing Site: Los Angeles, CA
| | Expungement |
11-04733 | 06/16/2014 | Claimant(s): Kwan Yoo Claimant Lawyers(s): Kwan Kun Yoo Respondent(s): Mooho Lee, Young Seo, Ace Diversified Capital., Ace Securities. Respondent Lawyers(s): Marc I. Zussman Arbitrator(s): David J. Anderson, Erik R. Siering, Michael John Florio Hearing Site: Los Angeles, CA
| | $0 |
13-03389 | 06/12/2014 | Claimant(s): UBS Financial Services Inc., Mark Fasano Claimant Lawyers(s): William McC. Montgomery Respondent(s): James Floyd, Mary Floyd Respondent Lawyers(s): Jacob H. Zamansky Arbitrator(s): Thomas E. Shuck, Christopher J. Rogers, Robert B. Hansohn Hearing Site: Los Angeles, CA
| | Expungement |
10-04257 | 06/10/2014 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Timothy N. Will Respondent(s): Philip Duamarell Respondent Lawyers(s): Michael Blumenfeld Arbitrator(s): Richard J. Stall, Robert Bruce MacDonald, Thomas W. Gregory Hearing Site: Los Angeles, CA
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13-00785 | 06/09/2014 | Claimant(s): Jeanette Brown, Lowell Brown Claimant Lawyers(s): Jeanette S. Brown Respondent(s): Aurielle Nelsen, Donald Davis, Elisabeth Kratka, Joseph Gilbert, Morgan Stanley, Nathan Dilts, Robert Perry, Stephen Suzuki, Steven Easler, Tammy D'Agostino Respondent Lawyers(s): Debra V. Achkire Arbitrator(s): Kenneth E. Owen, Gerald F. Corrigan, David Paul Beauvais Hearing Site: Los Angeles, CA
| | $4,430 |
11-04580 | 06/04/2014 | Claimant(s): Rick Cooper Claimant Lawyers(s): Robert C. Rosen Respondent(s): Richard Lanni, Ronald Vogel, Vincent Moy Respondent Lawyers(s): Charles LaChaussee, John L. Erikson, Mitchell J. Albert Arbitrator(s): John B. La Rue, Rosa Linda Guadarrama, John R Sustersic Hearing Site: Los Angeles, CA
| | $0 |
12-02244 | 06/03/2014 | Claimant(s): Joseph Ellison Claimant Lawyers(s): James A. Sigler Respondent(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A. Respondent Lawyers(s): Eugene L. Small Arbitrator(s): Richard M. Norman, Robert Edward Koondel, George Herman Frisch Hearing Site: Los Angeles, CA
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