| 14-00872 | 02/25/2016 | Claimant(s): Nora Smith, Estate of Dennis L. Smith, Dennis L. Smith Trust dtd 11/30/07
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Elliott Zachary Seff, Robert B. Hansohn, Robert Alan Merring
Hearing Site: Los Angeles, CA
|  | $0 |
| 14-02337 | 09/24/2015 | Claimant(s): Jay Stein, Jay J. Stein IRA Rollover, Jay J. Stein Retirement Fund dtd 9/1/85
Claimant Lawyers(s): Katrina M. Boice, Ryan K. Bakhtiari
Respondent(s): Northeast Securities., The Benchmark Company.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Robert B. Hansohn, Thomas R. Watkins, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $126,550 |
| 13-03042 | 07/14/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Berman
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Theresa Y. Hu, Robert B. Hansohn, W. Alex King
Hearing Site: Los Angeles, CA
| | |
| 12-03343 | 10/14/2014 | Claimant(s): Bijan Dokhanian, Michael Sadeghan, Shahdokht Dokhanian, Sean and David Sadgan, S&B Dokhanian Family Trust U/T/A 10/3/05
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Ascendant Asset Advisors., Interactive Brokers LLC
Respondent Lawyers(s): Burton Mark Senkfor, Robert W. Topp
Arbitrator(s): Arthur F. Brueggeman, Robert B. Hansohn, John Marius Baker
Hearing Site: Los Angeles, CA
| | $800,000 |
| 13-03389 | 06/12/2014 | Claimant(s): UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): James Floyd, Mary Floyd
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Thomas E. Shuck, Christopher J. Rogers, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-00691 | 05/06/2014 | Claimant(s): Steven Weber, Kern Family Intervivos Trust DTD 8/9/00
Claimant Lawyers(s): Christopher Kern, Steve Weber
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Benjamin F. Breslauer, Robert B. Hansohn, Michael John Florio
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-01349 | 04/23/2013 | Claimant(s): John Dee Coons
Claimant Lawyers(s): John Dee Coons
Respondent(s): Wells Fargo Advisors, Marie Lokmanyan, William Zurn
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Robert S. Fash, Robert B. Hansohn, Joseph L. Hagan
Hearing Site: Los Angeles, CA
| | $0 |
| 11-02699 | 03/26/2013 | Claimant(s): Lori Koh
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): James R. Duncan, Ralph B. Perry, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | |
| 11-01204 | 08/30/2012 | Claimant(s): Robert Angle, White Pacific Securities.
Claimant Lawyers(s): Michael C. Miller
Respondent(s): Patrick Nelson
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Philip W. Burge, Chester L. Firestein, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | |
| 10-04115 | 06/21/2012 | Claimant(s): Lehman Brothers Holdings.
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Kevin Kramer
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Audrey H. Ruben, Karen A. Lockwood, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | |
