| 21-02218 | 12/15/2021 | Claimant(s): Robin Taliaferro
Claimant Lawyers(s): Stephen Young
Respondent(s): Sutter Securities Incorporated, Sutter Capital Partners
Respondent Lawyers(s): R. Craig Zafis
Arbitrator(s): Thomas E Shuck
Hearing Site: Los Angeles, CA
| | |
| 21-00430 | 12/14/2021 | Claimant(s): Eric Silvestre
Claimant Lawyers(s): Harris Freedman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Katherine L. Handy
Arbitrator(s): Thomas E Shuck
Hearing Site: Los Angeles, CA
| | |
| 20-03136 | 04/08/2021 | Claimant(s): Mitchell Horst
Claimant Lawyers(s): Brian Luther
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeff Palmer
Arbitrator(s): Thomas E Shuck
Hearing Site: Las Vegas, NV
| | |
| 20-02207 | 01/26/2021 | Claimant(s): Phillips Huffman
Claimant Lawyers(s): Ryan S. Lean
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Thomas E Shuck
Hearing Site: Los Angeles, CA
| | |
| 20-02265 | 12/16/2020 | Claimant(s): Michael Marshall
Claimant Lawyers(s): James P. Galvin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Thomas E Shuck
Hearing Site: Phoenix, AZ
| | |
| 18-00735 | 11/07/2018 | Claimant(s): Phillip Shrotman
Claimant Lawyers(s): Phillip Quint Shrotman
Respondent(s): Pension Planners Securities.
Respondent Lawyers(s): Gina Duryea
Arbitrator(s): Thomas E. Shuck, Rosalind Anne Salzman, Mark Alan Sevigny
Hearing Site: Los Angeles, CA
| | |
| 14-03196 | 06/29/2015 | Claimant(s): Victor Jones
Claimant Lawyers(s): Victor D. Jones
Respondent(s): St. Bernard Financial Services.
Respondent Lawyers(s): Robert Keenan
Arbitrator(s): Thomas E. Shuck
Hearing Site: Los Angeles, CA
| | |
| 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 |
| 13-01973 | 03/06/2014 | Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McClelland Montgomery
Respondent(s): Mark Klein
Respondent Lawyers(s): Christopher J. Gray
Arbitrator(s): Thomas E. Shuck, Annette Gres Shepherd, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-04059 | 10/10/2011 | Claimant(s): David Herman
Claimant Lawyers(s): Lance Kimmel
Respondent(s): Mosaic Capital Securities
Respondent Lawyers(s): Robert Peter Weiss
Arbitrator(s): Thomas E. Shuck
Hearing Site: Los Angeles, CA
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