| 14-01220 | 10/28/2015 | Claimant(s): Colleen Levin, Jon Levin, Jon & Colleen Levin Trust dd 2/20/91
Claimant Lawyers(s): Michael D. Kennedy
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Larry Edmonson, Herbert Murez, Thomas W. Gregory
Hearing Site: Los Angeles, CA
|  | Expungement |
| 14-01189 | 08/21/2015 | Claimant(s): Miriam Albert, Miriam Albert IRA, Richard and Miriam Albert Reocable Trust
Claimant Lawyers(s): David W. Miller
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig Bockman
Arbitrator(s): Philip H. Marmurowski, John G. Manley, Brian Pezzillo
Hearing Site: Las Vegas, NV
| | Expungement |
| 12-02242 | 07/16/2015 | Claimant(s): Robert Teel, Robert Charles LLC, Robert Charles & Co., L.P., Robert Charles Class A, Robert Charles L.P., Calvin Brown Memorial Trust
Claimant Lawyers(s): Leslie Wybiral, Louis F. Burke
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates, Paul J. Schumacher
Arbitrator(s): Helen W. Kinnaird, Gene S. Evenskaas, Deanna Margaret Veitia
Hearing Site: San Diego, CA
| | $327,000 |
| 14-03593 | 06/03/2015 | Claimant(s): John Erickson
Claimant Lawyers(s): John F. Erickson
Respondent(s): William Nelson, Meyers Associates, L.P.
Respondent Lawyers(s): David S. Schrader
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Washington, DC
| | $0 |
| 13-02390 | 05/15/2015 | Claimant(s): Ann McCorquodale, Knox McCorquodale, Rex McCorquodale
Claimant Lawyers(s): Andrew D. Gowdown
Respondent(s): Terry Chilton, Chilton Financial Services., Terry Chilton Financial Services, L.P.
Respondent Lawyers(s): Cory S. Reed
Arbitrator(s): Jack Chapline Vaughan, Allan R. Lazor, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | $1,172,250 |
| 11-03815 | 03/27/2015 | Claimant(s): Walrus Master Fund Limited
Claimant Lawyers(s): Michael S. Schlesinger
Respondent(s): Goldman, Sachs and Company, Goldman Sachs Execution & Clearing, L.P.
Respondent Lawyers(s): Eric A. Bensky
Arbitrator(s): Boyd H. Scheff, Jean C. Black, David J. Weisenfeld
Hearing Site: New York, NY
| | $0 |
| 13-02355 | 03/03/2015 | Claimant(s): Irene Muratore, John Muratore, John S. & Irene D. Muratore Living Trust
Claimant Lawyers(s): Michael D. Kennedy
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig Bockman
Arbitrator(s): Arthur T. Berggren, Jasmina T. Boulanger, Adam Michael Porter
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-02802 | 09/10/2014 | Claimant(s): Pat Seidler
Claimant Lawyers(s): Henry C. Casden
Respondent(s): Larry Michaels, J.P. Turner & Company, L.L.C., Crown Capital Securities, L.P.
Respondent Lawyers(s): Ali Sabetghadam, Craig R. Bockman
Arbitrator(s): Robert D. Sussin, Benjamin F. Breslauer, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-02885 | 08/22/2014 | Claimant(s): Richard Hingley, Richard A. Hingley IRA, Richard A. Hingley 1989 Trust
Claimant Lawyers(s): Ronald E. Miller
Respondent(s): Eric Kuchel, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman, Shanna Javaheri
Arbitrator(s): Michelle Judy Brant, Peter H. Daly, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | $277,468 |
| 13-00848 | 05/27/2014 | Claimant(s): Kenneth Cook, Kenneth Cook Irrevocable Insurance Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Anthony S. Paetro, Janice L. Burnham, Overman Randolph Rollins
Hearing Site: Richmond, VA
| | $600 |
