| 13-03539 | 10/20/2014 | Claimant(s): Michael Bodnar
Claimant Lawyers(s): Robert Talbot
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
|  | $6,121 |
| 12-03247 | 06/27/2014 | Claimant(s): Robert Blakeman and Anne Blakeman Mahr
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Barry Bayat, UBS Financial Services Inc.
Respondent Lawyers(s): Michael M. Gless, Tara B. Voss
Arbitrator(s): Michael D. Harrison, Dorothy B. Strackbein, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-03153 | 05/29/2014 | Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Fred Mandell
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): Herbert Murez, Salvatore A. Sciortino, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | Expungement |
| 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 |
| 13-01632 | 12/20/2013 | Claimant(s): Ko Pu
Claimant Lawyers(s): Ko Fei Pu
Respondent(s): Firstrade Securities
Respondent Lawyers(s): Peter Gschweng
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $175 |
| 12-03175 | 12/10/2013 | Claimant(s): Walter Schild
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Joyce L. Hurley, Constance Ellen Boukidis, Owen Frances
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-03486 | 08/07/2013 | Claimant(s): The Shirvani Family Trust
Claimant Lawyers(s): Maliheh Shirvani
Respondent(s): Amir Navab, Arash Nassi, Brian Krueger, Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $600 |
| 09-05113 | 11/14/2011 | Claimant(s): Ian Harrison, Margaret Harrison, Harrison Family Trust
Claimant Lawyers(s): Patrick Baldwin
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $0 |
| 08-04291 | 05/26/2010 | Claimant(s): The Selan Family Trust dd 8/25/95
Claimant Lawyers(s): Philip M. Aidikoff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Alan Stamm, Alan M. Rosen, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $550,880 |
| 07-02044 | 05/27/2009 | Claimant(s): Illan Kim, Jin Cha, Jun Kwon, Sang Kim, Paper Design Clothing., Chong Cha SEP IRA, Charles and Sara Cho, Jin O. Cha and Illan Kim, Terry and Chong M. Cha, Won P. Yim and Chong S. Yim
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): E1 Asset Management.
Respondent Lawyers(s): Edward J. Boyle
Arbitrator(s): James P. Murphy, Susan B. Gans-Smith, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $2,702,600 |
