| 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 |
| 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 |
| 12-02933 | 07/09/2013 | Claimant(s): Marianne Baldwin
Claimant Lawyers(s): Irwin Stein
Respondent(s): Mark Van Mourick, Gramercy Securities., Optivest.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michael G. Clark, Christopher J. Rogers, Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-03508 | 07/29/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Jin-Ho Chung
Respondent(s): Noyeg Arkoian
Respondent Lawyers(s): Noyeg Arkoian
Arbitrator(s): Christopher J. Rogers, David Maurer, Stephen Malcolm Squire
Hearing Site: Los Angeles, CA
| | |
| 07-02304 | 03/20/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): David H.S. Commins
Respondent(s): Gregory Iglow
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Christine A. Page, Cynthia Ann Higgins, Christopher J. Rogers
Hearing Site: Los Angeles, CA
| | |
