14-02797 | 10/20/2016 | Claimant(s): Partnervest Advisory Services, Partnervest Financial Group, Partnervest Securities. Claimant Lawyers(s): Gerard J. Kowalski Respondent(s): Timothy Mahota Respondent Lawyers(s): Daren A. Luma Arbitrator(s): Martin J. Kotowski, Robert Dean McKinley, Robert Weston Armstrong Hearing Site: Los Angeles, CA
| | |
15-01377 | 07/22/2016 | Claimant(s): Richard Arzaga Claimant Lawyers(s): Daren A. Luma Respondent(s): FSC Securities Corporation Respondent Lawyers(s): Craig A. Vollono Arbitrator(s): Howard D. Jacob, Keely D. Parr, Harold Glenn Stafford Hearing Site: New York, NY
| | |
12-02414 | 12/02/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Daren A. Luma, Mauricio Beugelmans Respondent(s): Matthew Celenza Respondent Lawyers(s): Jeffrey K. Riffer Arbitrator(s): George L. Tindall, Ronald F. Rybandt, Gregory Douglas Stone Hearing Site: Los Angeles, CA
| | |
13-02975 | 04/24/2015 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Daren A. Luma Respondent(s): George Lin Respondent Lawyers(s): George Sein Lin Arbitrator(s): Dora M. Lassinger, Shelley Teitelbaum, Martin Hunger Hearing Site: New York, NY
| | $0 |
11-00733 | 05/17/2013 | Claimant(s): Kendis Family Trust (A & B Trusts) Claimant Lawyers(s): Mark D. Lammers Respondent(s): Citigroup Global Markets., Morgan Stanley Respondent Lawyers(s): Daren A. Luma Arbitrator(s): Donald Dreyfus, Kenneth L. Mann, Walter Steven Schwartz Hearing Site: Phoenix, AZ
| | Expungement |
11-02832 | 04/25/2013 | Claimant(s): James Metzger Claimant Lawyers(s): Steven B. Caruso Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Daren A. Luma Arbitrator(s): Susan C. Lushing, Evonne W.J. Tolbert, Andrew M. Schmertz Hearing Site: New York, NY
| | $0 |
09-02491 | 09/23/2010 | Claimant(s): Vikki Okasaki Claimant Lawyers(s): Vikki Okasaki Respondent(s): Citigroup Global Markets., Paul Couch Respondent Lawyers(s): Daren A. Luma Arbitrator(s): Philip H. Marmurowski, Stephen F. Kempa, Dee Newell Hearing Site: Las Vegas, NV
| | $15,500 |