| 15-03495 | 11/16/2016 | Claimant(s): Sefferino Guerrera, Sefferino Guerrera IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments, David Kakuda, Morgan Stanley
Respondent Lawyers(s): Judy Louie, Kitoh Grey
Arbitrator(s): Thomas R. Watkins
Hearing Site: Los Angeles, CA
|  | Expungement |
| 15-00887 | 08/10/2016 | Claimant(s): Joanna Cottrell
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Woodridge Capital Portfolio Management
Respondent Lawyers(s): Joshua Horn
Arbitrator(s): Anita Rae Shapiro, Ronald F. Rybandt, Daniel James Yee
Hearing Site: Los Angeles, CA
| | $0 |
| 14-03861 | 07/27/2016 | Claimant(s): Dorothy McNiff, Grant McNiff, Dorothy McNiff IRA, Grant McNiff IRA, Grant & Dorothy McNiff Trust 5/24/2004
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Jarrod Serrato, Newport Coast Securities.
Respondent Lawyers(s): Dan Druz, Jarrod Thomas Serrato
Arbitrator(s): Richard A. Stephens, Peter J Cohen, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
| | $101,016 |
| 14-02522 | 05/05/2016 | Claimant(s): Donna Gall, Lillian Mae McDonald IRA, McDonald Family Trust B-UA 03/09/2000, McDonald Family Trust U/A 04/10/1984
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Morgan Stanley
Respondent Lawyers(s): Judy Louie, Melissa M. Muehlfeld
Arbitrator(s): Timothy J. Kroll, Jay Lawrence Witkin, Karen D. Hanson
Hearing Site: Phoenix, AZ
| | Expungement |
| 14-00309 | 09/09/2015 | Claimant(s): Laurie Andrews, Robert Andrews, Griffin Capital (Westmont) Investor 21,
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Kevin Shields, Markel Petty, Michael Lynch, Raymond Stovall, Direct Capital Securities., Griffin Capital Securities.
Respondent Lawyers(s): Kenyon Harbison, Markel Dashiell Petty, Michael Van Lynch, Raymond P. Stovall
Arbitrator(s): Richard J. Stall, Peter J Cohen, Barry A. Fisher
Hearing Site: Los Angeles, CA
| | $245,200 |
| 14-01121 | 09/09/2015 | Claimant(s): Joseph Mizrahi, Joseph S. Mizrahi Trust DTD 06/04/1996
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Nancy G. Harris
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-03600 | 04/15/2015 | Claimant(s): Gloria Ruiz, Roberto Ruiz
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Maurice Chelliah, Evolve Securities.
Respondent Lawyers(s): Jason E. Brown, Maurice Joseph Chelliah
Arbitrator(s): Howard A. Emirhanian, Michael D. Harrison, David K. Slay
Hearing Site: Los Angeles, CA
| | $60,000 |
| 13-01890 | 09/22/2014 | Claimant(s): Ashok Rao
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Ivan Angulo, Niyukt Bhasin, NSM Securities.
Respondent Lawyers(s): Ivan Angulo, Niyukt R. Bhasin, Niyukt Raghu Bhasin
Arbitrator(s): Steven J. Feldman, Adam Michael Porter, Alan Bert Nishimura
Hearing Site: Los Angeles, CA
| | $128,000 |
| 12-03247 | 06/27/2014 | Claimant(s): Robert Blakeman and Anne Blakeman Mahr
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Barry Bayat, UBS Financial Services Inc.
Respondent Lawyers(s): Michael M. Gless, Tara B. Voss
Arbitrator(s): Michael D. Harrison, Dorothy B. Strackbein, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02468 | 06/16/2014 | Claimant(s): Pauline Allen, Pauline W. Allen Revocable Trust U/A 1/1
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Financial West Group, Edward Wentzheimer, UBS Financial Services Inc., M. Krasny, Marc Adelman, Mark Lewis
Respondent Lawyers(s): Amy B. Bard, Brent A. Burns, Ryan Probstfeld
Arbitrator(s): Michael G. Clark, CathyLyn Rossi, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
