| 19-03466 | 06/22/2020 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Joseph Pastore
Respondent Lawyers(s): Joseph Edward Pastore
Arbitrator(s): Barbara M. Zak, Katharine Reed Coleman, John R Sustersic
Hearing Site: Los Angeles, CA
| | |
| 13-01438 | 10/21/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Christopher Bleuher
Respondent Lawyers(s): Catherine L. Rhodes
Arbitrator(s): Edward J. Costello, William E. Winfield, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | |
| 10-01320 | 09/06/2011 | Claimant(s): Carl Neuss, Carla Neuss, Elaine Neuss, Hitching Rail Investors, One Westheimer Investors, LTD, DBPP, Pacific Venture Associates Inc. DBPP, Pacific Ventures Associates., Alex Neuss UTMA, Carla Neuss UTMA, Rebecca Neuss UTMA, Carl F. Neuss Beneficiary IRA, Carl F. Neuss IRA, Elaine P. Neuss IRA, Pacific Ventures Asso. 401K, Neuss Family Trust, Prairiestone Investment Trust
Claimant Lawyers(s): Martin B. Greenbaum, Michael Hume
Respondent(s): Wells Fargo Investments, John Milia, Michael Gates
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert D. Sussin, Robert C. Albini, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
|  | Expungement |
| 11-01712 | 08/23/2011 | Claimant(s): Carl Neuss, Carla Neuss, Elaine Neuss, Hitching Rail Investors, One Westheimer Investors, LTD DBPP, Pacific Venture Associates Inc. DBPP, Pacific Ventures Associates., Pacific Ventures Associates. 401K, Alex Neuss UTMA, Carla Neuss UTMA, Rebecca Neuss UTMA, Carl F. Neuss Beneficiary IRA, Carl F. Neuss IRA, Elaine P. Neuss IRA, Neuss Family Trust, Prairiestone Investment Trust
Claimant Lawyers(s): Martin B. Greenbaum
Respondent(s): John Evans
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert D. Sussin, Robert C. Albini, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-03094 | 07/05/2011 | Claimant(s): Rosen Capital Institutional LP, Rosen Capital Partners LP
Claimant Lawyers(s): Harold Barza
Respondent(s): Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Peter K. Vigeland
Arbitrator(s): Arthur T. Berggren, Katharine Reed Coleman, Holly Banafsheh
Hearing Site: Los Angeles, CA
| | $63,665,200 |
| 10-01192 | 04/27/2011 | Claimant(s): The Wright Family Living Trust
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): John Marshall, Rollance Verkennis, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Joseph C. Campo
Arbitrator(s): Alan Stamm, Thomas W. Gregory, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | $1,761,100 |
| 09-02704 | 12/22/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Mark Robles
Respondent Lawyers(s): Mark J. Robles
Arbitrator(s): Erik R. Siering, Janice A. Salter, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | |
| 09-02221 | 04/14/2010 | Claimant(s): Andrew Honzel, Beverly Honzel
Claimant Lawyers(s): Lawrence D. Lewis
Respondent(s): Benjamin Daniels, Raymond James Financial Services.
Respondent Lawyers(s): Charles L. Gallagher, Robert Rudnicki
Arbitrator(s): Edward I. Miller, Richard M. Norman, Katharine Reed Coleman
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 |
| 07-01941 | 09/23/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Gary Handler
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Robert S. Fash, Robert Elman, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
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