| 10-01701 | 01/16/2015 | Claimant(s): Richard Finelli
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Eaton Vance Distributors.
Respondent Lawyers(s): Robert A. Buhlman
Arbitrator(s): Carolyn V. Quadt, Richard J. Stall, Russell T. Doe
Hearing Site: Los Angeles, CA
| | |
| 13-02307 | 07/09/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): James E. Murtagh
Respondent(s): Richard Griswold
Respondent Lawyers(s): Richard John Griswold
Arbitrator(s): Carolyn V. Quadt
Hearing Site: Los Angeles, CA
| | |
| 12-00578 | 10/09/2013 | Claimant(s): PHK Trust
Claimant Lawyers(s): Kamyar R. Shayan
Respondent(s): David Crist, First Allied Securities., Sii Investments.
Respondent Lawyers(s): Jacquelyn Mohr, Jeffrey K. Compton
Arbitrator(s): Carolyn V. Quadt, Christopher J. Rogers, Robert C. Albini
Hearing Site: Los Angeles, CA
|  | Expungement |
| 09-01604 | 03/01/2010 | Claimant(s): Janice Duffek
Claimant Lawyers(s): Janice C Duffek
Respondent(s): Stephen Morton, Macarthur Strategies.
Respondent Lawyers(s): Edward Gartenburg, Stephen Francis Morton
Arbitrator(s): Carolyn V. Quadt, Kenneth E. Kreh, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | $2,800 |
| 08-03736 | 07/21/2009 | Claimant(s): Natasha Shliapnikoff, Rodion Nahapetov
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Carolyn V. Quadt
Hearing Site: Los Angeles, CA
| | $3,000 |
| 05-02000 | 12/21/2007 | Claimant(s): Lewis Worms, Lewis E. and Corrine I. Worms Trust
Claimant Lawyers(s): Stephen H. Marcus
Respondent(s): J.P. Turner & Company
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Carolyn V. Quadt, Vincent J. Natoli, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
