| 14-02982 | 09/27/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jennifer L. Tomsen, Tracy L. Gerber
Respondent(s): Audra Lalley
Respondent Lawyers(s): Michael A. Thurman
Arbitrator(s): Barbara M. Zak, Annette Gres Shepherd, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | |
| 14-02770 | 04/20/2016 | Claimant(s): Frank Epinger
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Terry E. Sanchez
Arbitrator(s): Robert Bruce MacDonald, Cheryl Marie Allain-Mee, Barry A. Fisher
Hearing Site: Los Angeles, CA
| | |
| 10-04257 | 06/10/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Philip Duamarell
Respondent Lawyers(s): Michael Blumenfeld
Arbitrator(s): Richard J. Stall, Robert Bruce MacDonald, Thomas W. Gregory
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
| | |
| 10-04475 | 03/02/2012 | Claimant(s): Lanfive Associates, A Partnership, Lani McKinley Trust u/t/d 8/28/2007
Claimant Lawyers(s): Barry P. King
Respondent(s): Stifel, Nicolaus & Co.., Manuel Lozano, Raymond Reed
Respondent Lawyers(s): Chad Weaver, James C. Browning
Arbitrator(s): Robert W. Vernon, Robert Bruce MacDonald, Suzanne Viau Chamberlain
Hearing Site: Los Angeles, CA
|  | Expungement |
| 09-06674 | 11/02/2011 | Claimant(s): Drew Freides
Claimant Lawyers(s): R. Rogge Dunn
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): David J. Anderson, Edward A. Trabin, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | |
| 09-02724 | 04/20/2011 | Claimant(s): Shelby Rothman
Claimant Lawyers(s): William K. Brewer
Respondent(s): Opinder Marwah, Woodbury Financial Services.
Respondent Lawyers(s): Martin S. Chester
Arbitrator(s): Suzanne Viau Chamberlain, Robert Bruce MacDonald, John W. Garman
Hearing Site: Los Angeles, CA
| | |
| 09-03872 | 02/15/2011 | Claimant(s): Magaly Thrasher, Sean R. Burns UTMA/CA, Jerold & Magaly Thrasher Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Bruce Hallenbeck, Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Barbara M. Zak, Elizabeth A. Copley, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | $105,000 |
| 09-00609 | 11/29/2010 | Claimant(s): Moshe Shram
Claimant Lawyers(s): Jonathan Schwartz
Respondent(s): IDB Capital Corp.
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Barbara M. Zak, Joseph C. Watson, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | $0 |
| 07-00469 | 03/15/2010 | Claimant(s): Robert Rose
Claimant Lawyers(s): Philip D. Dapeer
Respondent(s): John Barnes, Sanah Chung
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Robert Bruce MacDonald, Kirtley M. Thiesmeyer, Kendall C. Reed
Hearing Site: Los Angeles, CA
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