| 12-01501 | 05/29/2013 | Claimant(s): Stan Dreyfuss
Claimant Lawyers(s): Leonard Steiner
Respondent(s): RBC Capital Markets LLC, RBC Capital Markets Corporation, RBC Dain Rauscher.
Respondent Lawyers(s): Linda Claxton
Arbitrator(s): James R. Duncan, Elliott Zachary Seff, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
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| 12-02996 | 05/20/2013 | Claimant(s): Stephen Epstein
Claimant Lawyers(s): Stephen S. Epstein
Respondent(s): Brokersxpress LLC
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
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| 11-00677 | 05/17/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Zak Shapiro
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): John E. Ohashi, W. Alex King, Erich Daniel Schiefelbine
Hearing Site: Los Angeles, CA
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| 12-03471 | 05/10/2013 | Claimant(s): Mike Safaie
Claimant Lawyers(s): Mike Safaie
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Robert E. Jenks, Jack R. Goetz, Darrell Thomas Reed
Hearing Site: Los Angeles, CA
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| 12-00069 | 05/02/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Jiraeyer Kharatian
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
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| 12-03991 | 05/02/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Gregory O. Eisenreich
Respondent(s): Fariba Madison
Respondent Lawyers(s): Greg Sherwin
Arbitrator(s): Norman Cousins Sasamori, Robert F. Saint-Aubin, Richard Lee Fausett
Hearing Site: Los Angeles, CA
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| 10-05097 | 05/01/2013 | Claimant(s): Peter Prescott
Claimant Lawyers(s): David Harrison
Respondent(s): Financial Network Investment Corporation, The Leader Board
Respondent Lawyers(s): Robert L. Hill
Arbitrator(s): Alan Stamm, James A. Sigler, Walter R. Whitman
Hearing Site: Los Angeles, CA
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| 12-03590 | 04/26/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Victor Valdez
Respondent Lawyers(s): Victor Valdez
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
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| 11-03133 | 04/24/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Nicholas Yrizarry
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Robert E. Jenks, Ronald D. Goldman, Robert Alan Merring
Hearing Site: Los Angeles, CA
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| 12-03501 | 04/19/2013 | Claimant(s): Heather Molin
Claimant Lawyers(s): Edward Zusman
Respondent(s): Patrick Collins
Respondent Lawyers(s): Salvador M. Hernandez
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | Expungement |
