| 23-00448 | 06/26/2024 | Claimant(s): Jennifer Gold
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Alex Chivarsky, UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman, Omar Perez
Arbitrator(s): Robert B. Hansohn, Brent J. Rosenbaum, Farshad Ghodoosi
Hearing Site: Los Angeles, CA
|  | Expungement |
| 21-01782 | 10/19/2022 | Claimant(s): Cary Shillington, Caterina Romano, Italo Romano, Stuart Wein, Cary Shillington IRAs, CM Romano Family Trust DTD 8/26/2005, Wein Schliep Trust DTD 4/20/17
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Estate of Jan Earl Haynes, Joshua Helmle
Respondent Lawyers(s): Estate of Jan Earl Haynes, Joshua Nathan Helmle
Arbitrator(s): Robert E. Jenks, Kenneth Andrew Klinko, Fern M. Laethem
Hearing Site: San Diego, CA
| | $510,000 |
| 18-01431 | 03/03/2022 | Claimant(s): Edgar Patricio Paredes Camacho, Edith Fatima Vallarino, Paulo Mauricio Paredes Valencia, Rosa Maria Villamar, Edgar Camacho and Rosa Villamar Jointly, Paulo Valencia & Edith Vallarino Jointly
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Abdel-Kader Ben-Mohamed, Carlo Rossell, Citigroup Global Markets.
Respondent Lawyers(s): Abdel-Kader Ben-Mohamed, Joseph C. Coates
Arbitrator(s): Steven Gerard Goerke, Monroe Mitchel, Stacey Rosenthal
Hearing Site: Miami, FL
| | Expungement |
| 17-02090 | 11/23/2020 | Claimant(s): Colleen Simmons, Kenneth Thompson, Kenneth P. Thompson ROTH IRA, Simmons Living Trust U/A 08/30/02, Thompson Living Trust U/A 05/31/02
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Hightower Securities, Hightower Advisors
Respondent Lawyers(s): Matthew B. Henneman
Arbitrator(s): Richard M. Norman, Robert E. Jenks, Milton N. Gross
Hearing Site: Los Angeles, CA
| | Settlement |
| 18-03668 | 04/28/2020 | Claimant(s): Jeanna Carrick, Michael Carrick, Carrick Family Trust DTD 9/5/07
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Marsha Lee, First Allied Securities., Marsha Lee & Company.
Respondent Lawyers(s): Jeffrey Compton
Arbitrator(s): Ronald L. Cameron, Robert C. Albini, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
| | $0 |
| 17-03494 | 08/20/2019 | Claimant(s): Suzanne Takowsky, Suzanne Takowsky Rev Trust DTD 5/20/14
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Barbara M. Zak, Pamela Jane Koslow, Erin Person
Hearing Site: Los Angeles, CA
| | $300 |
| 16-02859 | 07/26/2019 | Claimant(s): Christopher Engen, Kimberly Engen, NFS/FMTC IRA FBO Christopher W. Engen, NFS/FMTC IRA FBO Kimberly Engen, Bypass Trust "B" of the Restatement of, Christopher W. and Kimberly Family Trust, Survivor's Trust "A" of the Restatement
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Alphonse Calicchio, Hemant Kathuria, Peter Schiff, Robert Decker, William Mcbean, Euro Pacific Capital.
Respondent Lawyers(s): David Wechsler, Hemant Kathuria, Peter David Schiff, Peter Chema, Robert Henry Decker, William Gordon Mcbean
Arbitrator(s): Milton N. Gross, Carole Helfert Aragon, Frank Cronin
Hearing Site: Los Angeles, CA
| | Expungement |
| 17-03042 | 06/28/2019 | Claimant(s): Deborah Scribner, George Scribner, George H. Scribner IRA, Scribner. 401(k) Plan, Scribner Living Trust U/A DTD 05/16/1996, Scribner Inc, Defined Benefit Plan
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Anthony Ross, Wells Fargo Advisors, Lloyd Evans, Wachovia Securities Inc.
Respondent Lawyers(s): Geoff Beckham, Lloyd Glenn Evans
Arbitrator(s): Michael M. Hachigian, Mary M. O'Neil, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-03515 | 08/29/2017 | Claimant(s): Laurie Seeman, Michael Cadoo, Michael Cadoo IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): David Down, James Lunsford, Jeanine Devine, Sarah Fong, Timothy Brown, Mid Atlantic Capital Corporation
Respondent Lawyers(s): James B. Lunsford, John W. Stenson
Arbitrator(s): Laurel Littman Gothelf, William Michael Samsel, John Burritt McArthur
Hearing Site: San Francisco, CA
| | Expungement |
| 14-01424 | 05/17/2017 | Claimant(s): Roger Donenfeld, Roger F. Donenfeld IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Daniel Terpak, National Securities Corporation, Melvin Stoutenburg, Mohammed Sheikh
Respondent Lawyers(s): Michael P. Gilmore, Randall C. Place
Arbitrator(s): Michael M. Hachigian, Robert E. Jenks, Madina C. Boland
Hearing Site: Los Angeles, CA
| | Expungement |
