22-00410 | 02/01/2023 | Claimant(s): Kenneth South Claimant Lawyers(s): Patrick R. Mahoney Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William H. Badinelli Arbitrator(s): A. Joel Klein, Benjamin F. Breslauer, Richard Maurice Robinson Hearing Site: Los Angeles, CA
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16-02805 | 01/08/2019 | Claimant(s): Oscar Celasco, Centrica Invt Capital Inc., G.S.S. Capital Group Limited, GSSC Holdings LTD, GSSC SP, Mesoamerica Acre Farms., Westwood Holding Inc. Claimant Lawyers(s): Matthew L. Jones Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Timothy P. Burke Arbitrator(s): Gary Timothy Haight, Laurent C. Vonderweidt, A. Joel Klein Hearing Site: Los Angeles, CA
| | $0 |
16-02681 | 06/08/2018 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Michael S. Taaffe Respondent(s): James Duncombe Respondent Lawyers(s): H. Thomas Fehn Arbitrator(s): A. Joel Klein, Rosa Linda Guadarrama, Cheryl Marie Allain-Mee Hearing Site: Los Angeles, CA
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16-03171 | 03/29/2018 | Claimant(s): Carol S. Warman, IRA, Paul Warman, Warman Revocable Trust dated 10-09-98 Claimant Lawyers(s): Alan C. Friedberg Respondent(s): Morgan Stanley, George Manska, Lynda Schultz Respondent Lawyers(s): Nicholas N. George Arbitrator(s): Larry Edmonson, A. Joel Klein, Daniel Clay McGuire Hearing Site: Las Vegas, NV
| | Expungement |
17-00890 | 12/05/2017 | Claimant(s): Michael Greer Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): A. Joel Klein Hearing Site: Los Angeles, CA
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16-03314 | 10/16/2017 | Claimant(s): Jacqueline Harrigan, Jacqueline Bose Harrigan Trust Claimant Lawyers(s): Jacqueline Bose Harrigan Respondent(s): Ricardo Cabrera, G.F. Investment Services Respondent Lawyers(s): Alan L. Sachs, Geoffrey A. Frazier Arbitrator(s): A. Joel Klein, Royetta M. Jones, Augusta Massey Hearing Site: Las Vegas, NV
| | Expungement |
16-00847 | 07/13/2017 | Claimant(s): Agatha Dancy, John Dancy Claimant Lawyers(s): Robert J. Girard Respondent(s): Wedbush Securities Inc., Mark Augusta Respondent Lawyers(s): Charles LaChaussee, David S. Harrison Arbitrator(s): A. Joel Klein, Owen J. Thomsen, Carolyn Renee Payne Hearing Site: Los Angeles, CA
| | $1,519,360 |
15-00622 | 12/02/2016 | Claimant(s): Michael Phillip Claimant Lawyers(s): Robert J. Girard Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Respondent Lawyers(s): Edward J. Heffernan Arbitrator(s): A. Joel Klein, Steven A. Wawra, Rosa Linda Guadarrama Hearing Site: Los Angeles, CA
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13-03659 | 03/08/2016 | Claimant(s): Barbara Klotz, Richard Klotz Claimant Lawyers(s): Anthony Reguero, M. Ryan DiMaria Respondent(s): Gary Roney, Jack Hartfelder, Morgan Stanley Respondent Lawyers(s): Kendra S. Canape Arbitrator(s): David J. Anderson, A. Joel Klein, Terry D. Anderson Hearing Site: Los Angeles, CA
| | Expungement |
14-00028 | 10/09/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Timothy N. Will Respondent(s): Steve Sung Respondent Lawyers(s): Leonard Steiner Arbitrator(s): Howard A. Emirhanian, A. Joel Klein, Michael M. Perrigue Hearing Site: Los Angeles, CA
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