| 12-03926 | 02/21/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): Turker Ergun
Respondent Lawyers(s): Turker Ergun
Arbitrator(s): Robert D. Sussin, Robert S. Fash, Norman Michael Garland
Hearing Site: Los Angeles, CA
| | |
| 12-01971 | 02/21/2014 | Claimant(s): Christopher Murphy, Chris's Stuff 401K Profit Sharing Plan, Chris's Stuff Inc. Defined Benefit, Christopher J. Murphy Revocable Trust
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Constance Ellen Boukidis, Michael R. Diliberto, Allen Edward Wisniewski
Hearing Site: Los Angeles, CA
|  | $600 |
| 13-02392 | 02/13/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael L. Carp
Respondent(s): Jose Carbajal
Respondent Lawyers(s): Jose A. Carbajal
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | |
| 13-01402 | 01/27/2014 | Claimant(s): Lisa Detanna
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Janet Refoa
Respondent Lawyers(s): Janet Refoa
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-03324 | 01/07/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Richard J. Stall
Hearing Site: Los Angeles, CA
| | |
| 13-01338 | 01/06/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Scott Trueman
Respondent Lawyers(s): Scott Anthony Trueman
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
| | |
| 12-00951 | 01/06/2014 | Claimant(s): Deborah Shishko, Robert Shishko, John Shishko Revocable Trust, Robert Shishko Trust
Claimant Lawyers(s): J. Christopher Wehrle, Marc L. Godino
Respondent(s): Elliott Moskowitz, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Robert J. Ruben, Blaine Smith, David L. Maislen
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04760 | 01/03/2014 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Timothy N Will
Respondent(s): Ronald Betten
Respondent Lawyers(s): Steven L. Miller
Arbitrator(s): Alan Stamm, Ronald L. Cameron, Larry Haugaard
Hearing Site: Los Angeles, CA
| | |
| 10-01598 | 12/26/2013 | Claimant(s): Stanley Brooks, Brookstreet Securities Corporation, Brooks Family Trust
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Jason S. Pinney
Arbitrator(s): Robert Bruce MacDonald, Karen L. Gold, David L. Maislen
Hearing Site: Los Angeles, CA
| | |
| 10-04296 | 12/23/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Bryan Clark
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
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