15-03226 | 01/24/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Timothy N. Will Respondent(s): Edward Levi Respondent Lawyers(s): Edward Kelly Levi Arbitrator(s): Robert A. Lombardi, Marvin B. Karelitz, W. Alex King Hearing Site: Los Angeles, CA
| | |
15-01169 | 12/19/2016 | Claimant(s): Dolores Hsu, Vadim Hsu Claimant Lawyers(s): Morse Taylor Respondent(s): Erin McNelly, Fidelity Brokerage Services LLC Respondent Lawyers(s): Scott E. Rahn Arbitrator(s): David J. Anderson, Robert A. Lombardi, Richard Maurice Robinson Hearing Site: Los Angeles, CA
| | $31,682 |
13-02835 | 05/27/2016 | Claimant(s): Joseph Sanberg Claimant Lawyers(s): Todd H. Stitt Respondent(s): Fidelity Brokerage Services LLC, Sean Oittinen, Stephen Fox Respondent Lawyers(s): Ellen Sessions Arbitrator(s): Robert D. Sussin, Joyce L. Hurley, Robert A. Lombardi Hearing Site: Los Angeles, CA
| | Expungement |
13-02836 | 11/06/2014 | Claimant(s): Mary Curattalo, Sal Curattalo Claimant Lawyers(s): David Liebrader Respondent(s): Royal Alliance Associates., Mark Intino Respondent Lawyers(s): Alan L. Sachs, Jay Simpson Arbitrator(s): Robert A. Lombardi, William R. Rafti, Philip H. Marmurowski Hearing Site: Las Vegas, NV
| | $45,000 |
13-02039 | 06/19/2014 | Claimant(s): Ruth Levine, Ruth R. Levine Living Trust Claimant Lawyers(s): Eric A. Woosley Respondent(s): Morgan Stanley & Co., Stephen Kally Respondent Lawyers(s): Chan H. Nam Arbitrator(s): Robert A. Lombardi, Richard M. Norman, Gregory Douglas Stone Hearing Site: Los Angeles, CA
| | Expungement |
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
| | |
11-03452 | 08/16/2013 | Claimant(s): Betty Saleh, Patrick FitzWilliam Claimant Lawyers(s): Maxwell M. Blecher Respondent(s): Wedbush Securities Inc., Edward Wedbush, Michael Gardner, Richard Lanni Respondent Lawyers(s): Jerry S. Phillips, John Erikson Arbitrator(s): Robert A. Lombardi, Dennis A. Torres, Robert Dean McKinley Hearing Site: Los Angeles, CA
| | $435,380 |
12-00123 | 05/17/2013 | Claimant(s): Judith Biss, Kenneth Biss, USA Hawaii Self Storage 14 LLC Claimant Lawyers(s): John Owen Murrin Respondent(s): Kenneth McDonald, Crown Capital Securities, L.P. Respondent Lawyers(s): Craig R. Bockman Arbitrator(s): Ralph H. Erickson, Elliott David Finkel, Robert A. Lombardi Hearing Site: Los Angeles, CA
| | Expungement |
11-02442 | 10/02/2012 | Claimant(s): Deutsche Bank Securities. Claimant Lawyers(s): Angelina Chew Respondent(s): Jon Javellana, Kenneth Ro, Barclays Capital Inc. Respondent Lawyers(s): Christopher A. Stecher, Naki Irvin Arbitrator(s): Robert A. Lombardi, Eric Gad Forster, Ara Kassabian Hearing Site: Los Angeles, CA
| | |
09-03569 | 01/20/2012 | Claimant(s): Lyle W. Swenson, Jr. & Michelle Swenson Claimant Lawyers(s): Peter K. Rundle Respondent(s): Wachovia Securities, Craig Riley Respondent Lawyers(s): Craig Alan Riley, G. Thomas Fleming Arbitrator(s): Robert A. Lombardi, Kenneth E. Kreh, Mary M. O'Neil Hearing Site: Los Angeles, CA
| | $0 |