| 13-02313 | 02/11/2016 | Claimant(s): Brown Family Trust
Claimant Lawyers(s): Thomas R. Ajamie
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Jennifer I. Machlin
Arbitrator(s): Elliott Zachary Seff, Constance Ellen Boukidis, David W. Dresnick
Hearing Site: Los Angeles, CA
|  | Expungement |
| 14-01091 | 02/08/2016 | Claimant(s): Burton D. Schnierow IRA, The Burton D. Schnierow Trust U/A 10/29/
Claimant Lawyers(s): Katrina M. Boice, Philip M. Aidikoff
Respondent(s): Unionbanc Investment Services.
Respondent Lawyers(s): Kasumi Takahashi
Arbitrator(s): David W. Dresnick, Robert Dean McKinley, Brent Eric Zepke
Hearing Site: Los Angeles, CA
| | $450,000 |
| 12-01386 | 07/03/2013 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Joseph Buchanan
Respondent Lawyers(s): Joseph Buchanan
Arbitrator(s): Mark S. Priver, David W. Dresnick, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | |
| 11-03066 | 11/30/2012 | Claimant(s): Arlene Hazelrigg
Claimant Lawyers(s): Edward S. Gelfand
Respondent(s): Morgan Stanley & Co., Steven Vitale
Respondent Lawyers(s): Jonathan D. Robbins, Thomas P. Briody
Arbitrator(s): Roberta Haft, Benjamin F. Breslauer, David W. Dresnick
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00911 | 10/23/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Barbara Horvath
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Michael G. Clark, Barton J. Brewer, David W. Dresnick
Hearing Site: Los Angeles, CA
| | |
| 11-00479 | 03/29/2012 | Claimant(s): Mickey Schwarz, Mickey Schwarz IRA, The Schwarz Living Trust
Claimant Lawyers(s): Marc Schwarz, Mickey Schwarz
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Martin Olinick, Ronald L. Cameron, David W. Dresnick
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04022 | 02/28/2012 | Claimant(s): Andrew Vogelbach, Karl Vogelbach, Karl Heinrich Vogelbach MD MPP & Trust U, Karl HeinrichVogelback MD MNY Prchse PL
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): Jens Spitta, Quincy Cass Associatesorporated
Respondent Lawyers(s): Sylvia M. Scott
Arbitrator(s): David W. Dresnick, Kendall C. Reed, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | $0 |
| 09-06200 | 11/04/2011 | Claimant(s): Michael Padilla, PTC Acquisitions
Claimant Lawyers(s): David Darnell
Respondent(s): Citigroup Global Markets., Morgan Stanley, Nat Di Carlo, Robert Martensen, Smith Barney, Smith Barney Consulting Group, The Catalina Group
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Dorothy B. Strackbein, David W. Dresnick, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $0 |
| 08-03548 | 10/07/2011 | Claimant(s): Mike Sturdivant, Ygondine Sturdivant
Claimant Lawyers(s): Dale Ledbetter
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): R. Thomas Barksdale, Marc Kalish, David W. Dresnick
Hearing Site: Jackson, MS
| | $0 |
| 09-01338 | 12/13/2010 | Claimant(s): Karin Paridee-Beard, Ronald Beard, Beard Living Trust dtd 3/30/1999
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Richard J. Stall, David W. Dresnick, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
| | $336,270 |
