| 12-03722 | 03/18/2014 | Claimant(s): Nauman Toor
Claimant Lawyers(s): Joshua H. Reisman
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Daryl S. Landy
Arbitrator(s): Mary L. Williams, Annette Gres Shepherd, Ian F. Gow
Hearing Site: Los Angeles, CA
| | |
| 13-02279 | 03/14/2014 | Claimant(s): Henry & Layla Steelman Family Trust
Claimant Lawyers(s): Henry Steelman
Respondent(s): Monte Traficante, Stockcross Financial Services.
Respondent Lawyers(s): Chris Albanese
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
|  | Expungement |
| 12-02249 | 03/13/2014 | Claimant(s): Diana Sigalos, NFS/FMTC Rollover IRA FBO Anthony Sigalo, Anthony Sigalos Separate Property Trust, Sigalos Family Trust U/A 8/1/05
Claimant Lawyers(s): Anthony Sigalos, Diana Sigalos
Respondent(s): Aletheia Securities.
Respondent Lawyers(s): Roger B. Peikin
Arbitrator(s): Anita Rae Shapiro, Mark Alan Sevigny, John Suciu
Hearing Site: Los Angeles, CA
| | $876,780 |
| 13-02736 | 03/12/2014 | Claimant(s): Michael Sushel
Claimant Lawyers(s): Michael Sushel
Respondent(s): Ameriprise Financial Services., Vivian Chang
Respondent Lawyers(s): Elizabeth Del Cid
Arbitrator(s): Janice A. Salter
Hearing Site: Los Angeles, CA
| | $32,526 |
| 12-00506 | 03/11/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Jessica McConnell, Todd Carbone
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Robert D. Sussin, Robert A. Lombardi, Bryan L. Herrmann
Hearing Site: Los Angeles, CA
| | |
| 13-01973 | 03/06/2014 | Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McClelland Montgomery
Respondent(s): Mark Klein
Respondent Lawyers(s): Christopher J. Gray
Arbitrator(s): Thomas E. Shuck, Annette Gres Shepherd, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02736 | 03/04/2014 | Claimant(s): Bart Sullivan, Bart Sullivan.
Claimant Lawyers(s): Bart Sullivan
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Michael D. Harrison, Dennis A. Torres, Jack R. Goetz
Hearing Site: Los Angeles, CA
| | $0 |
| 12-00772 | 03/04/2014 | Claimant(s): Aimai Knypstra, Knypstra 2008 Irrevocable Trust, Knypstra Family Trust
Claimant Lawyers(s): Benjamin Blakeman
Respondent(s): Ameriprise Financial Services., John Koudsi, Ameriprise Financial., Riversource Life Insurance Company
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Gary Timothy Haight, Susan B. Gans-Smith, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | $0 |
| 10-05092 | 02/26/2014 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Burns
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Howard A. Emirhanian, Martin J. Kotowski, David Nielsen
Hearing Site: Los Angeles, CA
| | |
| 10-04984 | 02/21/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Russell Williams
Respondent Lawyers(s): Geniene B. Stillwell
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
| | |
