| 12-00951 | 01/06/2014 | Claimant(s): Deborah Shishko, Robert Shishko, John Shishko Revocable Trust, Robert Shishko Trust
Claimant Lawyers(s): J. Christopher Wehrle, Marc L. Godino
Respondent(s): Elliott Moskowitz, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Robert J. Ruben, Blaine Smith, David L. Maislen
Hearing Site: Los Angeles, CA
|  | Expungement |
| 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
| | |
| 11-03117 | 08/24/2012 | Claimant(s): Roni Arjangravesh
Claimant Lawyers(s): Christine A. Page
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Christopher P. Fisher
Arbitrator(s): Philip W. Burge, David L. Maislen, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 10-05091 | 07/24/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): John Fallon
Respondent Lawyers(s): Todd C. Atkins
Arbitrator(s): Mary M. O'Neil, David L. Maislen, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | |
| 10-05250 | 05/16/2012 | Claimant(s): Zvi Streit, The Streit Living Trust
Claimant Lawyers(s): George A Shohet
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Susan B. Gans-Smith, Robert B. Hansohn, David L. Maislen
Hearing Site: Los Angeles, CA
| | $143,400 |
| 10-04056 | 05/04/2012 | Claimant(s): Donald A. Hausfeld & Judith A. Hausfeld
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Alexander B. Feinberg
Arbitrator(s): Marvin J. Klein, David L. Maislen, Jay M. Vogelson
Hearing Site: Atlanta, GA
| | $402,101 |
| 09-04371 | 03/28/2012 | Claimant(s): Kelly Dunne
Claimant Lawyers(s): Charles W. Brower
Respondent(s): Russell Ruffino, Ruffino & Associates., Transamerica Financial Advisors.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Sandra L. Malek, John Alen DeRosa, David L. Maislen
Hearing Site: Los Angeles, CA
| | $0 |
| 09-02583 | 11/29/2011 | Claimant(s): Jose Castaneda, Felicitas Castaneda
Claimant Lawyers(s): Jose Castaneda
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Erik R. Siering, David L. Maislen, Henry Marris Wollman
Hearing Site: Los Angeles, CA
| | $0 |
| 08-02874 | 11/12/2010 | Claimant(s): Matt Lichtenberg, Viveca Paulin, Will Ferrell, David Living Trust
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): Linda L. Blackwell, Elizabeth A. Copley, David L. Maislen
Hearing Site: Los Angeles, CA
| | $0 |
| 08-04815 | 02/04/2010 | Claimant(s): Fred Feld and Pearl Feld
Claimant Lawyers(s): Fred Feld
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Payne Templeton
Arbitrator(s): David L. Maislen, Thanayi J. Lindsey, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | $0 |
