| 10-04465 | 07/02/2014 | Claimant(s): Daniel Becerra
Claimant Lawyers(s): S. Adam Spiewak
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Jodi S. Cohen
Arbitrator(s): Basil Lewis, Richard J. Stall, Joseph C. Watson
Hearing Site: Los Angeles, CA
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| 08-00479 | 03/01/2010 | Claimant(s): Grand Avenue Capital Partners, Grand Avenue Capital
Claimant Lawyers(s): Stephen Scott Talt
Respondent(s): Michael Marevich, Nick Liang, Thomas Korzenecki, Etech Securities.
Respondent Lawyers(s): Stephen Scott Talt, Tony D. Chen
Arbitrator(s): Robert J. Ruben, Basil Lewis, Esther A. Spachner
Hearing Site: Los Angeles, CA
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| 08-02932 | 02/18/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): James Patton
Respondent Lawyers(s): Lisa Bond
Arbitrator(s): Basil Lewis, Willard H. Altman, James Belk
Hearing Site: Los Angeles, CA
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| 08-02789 | 08/21/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Patrick J. Folan
Respondent(s): Charles Laverty
Respondent Lawyers(s): Zachary R. Smith
Arbitrator(s): Basil Lewis, Mark A. Levy, Ronald F. Rybandt
Hearing Site: Los Angeles, CA
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| 07-01487 | 08/04/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Arthur Castro
Respondent Lawyers(s): David L. Casterline
Arbitrator(s): Bert Levy, Basil Lewis, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
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| 07-01087 | 06/12/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): John Hernandez
Respondent Lawyers(s): Daniel L. Hitzke
Arbitrator(s): Basil Lewis, Walter R. Whitman, Carol Jeanne Medof
Hearing Site: Los Angeles, CA
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