| 12-02689 | 06/02/2014 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Duc Tran, Gary Wei, Richard McKusick
Respondent Lawyers(s): Catania T. Facher, G. Thomas Fleming
Arbitrator(s): Ronald L. Cameron, Marvin B. Karelitz, David Pierce Lyon
Hearing Site: Los Angeles, CA
| | |
| 13-03153 | 05/29/2014 | Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Fred Mandell
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): Herbert Murez, Salvatore A. Sciortino, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-03406 | 05/20/2014 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Health Solutions
Respondent Lawyers(s): Glen Rocklin
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-03756 | 05/20/2014 | Claimant(s): Kyle Christensen
Claimant Lawyers(s): Elizabeth Lowery
Respondent(s): Brookstreet Securities Corporation
Respondent Lawyers(s): Stanley C. Brooks
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | |
| 13-02727 | 05/19/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Brad Baggarly
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Kenneth R. Hyman, June McLaughlin, A. Joel Klein
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-02477 | 05/14/2014 | Claimant(s): Gregory Niemann Living Trust, Leila Niemann Living Trust, The Niemann Family Revocable Trust
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Salvatore A. Sciortino, Judith Porter, Kendall C. Reed
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-00691 | 05/06/2014 | Claimant(s): Steven Weber, Kern Family Intervivos Trust DTD 8/9/00
Claimant Lawyers(s): Christopher Kern, Steve Weber
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Benjamin F. Breslauer, Robert B. Hansohn, Michael John Florio
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-03339 | 05/02/2014 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | |
| 13-02889 | 05/01/2014 | Claimant(s): UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Richard Doretti
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Gary Timothy Haight, Christine A. Page, John B. La Rue
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-03623 | 04/28/2014 | Claimant(s): Deanna Buchholz
Claimant Lawyers(s): Jody L. Winter
Respondent(s): Cambridge Investment Research Advisors,, Cambridge Investment Research.
Respondent Lawyers(s): Sam Y. Edgerton
Arbitrator(s): Richard J. Stall, Robert Dean McKinley, Brant Jackson Griffin
Hearing Site: Los Angeles, CA
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