| 12-01217 | 04/08/2014 | Claimant(s): David W. Ramey
Claimant Lawyers(s): Moshe Y. Singer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Norman Cousins Sasamori, James S. Carlson, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
|  | Expungement |
| 09-06371 | 09/25/2013 | Claimant(s): The Anderson Family Trust
Claimant Lawyers(s): Steven M. Goldberg
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Scott E. Rahn
Arbitrator(s): Arthur T. Berggren, Linda L. Drummond, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $0 |
| 11-04614 | 07/22/2013 | Claimant(s): Kenneth Finnegan, Nancy Gouffon, Nancy F. Gouffon, C/F, Kenneth M. Finnegan, IRA, Nancy F. Gouffon IRA, ROTH IRA
Claimant Lawyers(s): Howard B Prossnitz
Respondent(s): Morgan Keegan & Co..
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Julia Rota, Kirtley M. Thiesmeyer, Marvin L. Schuldiner
Hearing Site: Memphis, TN
| | $0 |
| 12-03446 | 06/19/2013 | Claimant(s): Constantine Koukos, Morgan Stanley
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Mark Ellison Glover
Respondent Lawyers(s): Mark Ellison Glover
Arbitrator(s): Robert F. Saint-Aubin, Daniel David Kopman, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-03327 | 03/26/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Kris Larson
Respondent Lawyers(s): Kris Kendrick Larson
Arbitrator(s): Kirtley M. Thiesmeyer
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
| | |
| 12-00061 | 06/29/2012 | Claimant(s): Jane C L Goichman Rollover IRA, Henry and Jane Goichman Trust
Claimant Lawyers(s): Jane C. L. Goichman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Diana H. Sur
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $22,524 |
| 11-03699 | 04/04/2012 | Claimant(s): Vinita Wadhwani, Vishin Wadhwani
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Wendy Robinson
Arbitrator(s): Kirtley M. Thiesmeyer, Owen Frances, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 10-04520 | 02/03/2012 | Claimant(s): Margaret Wendt
Claimant Lawyers(s): Jed Gladstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Laurent C. Vonderweidt, Kirtley M. Thiesmeyer, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
| | $0 |
| 11-04810 | 01/24/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Mark Carberry
Respondent(s): Amir Monsefi, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John D. Vaughn, Timothy R. Pestotnik
Arbitrator(s): Robert D. Sussin, Kirtley M. Thiesmeyer, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | |
