21-03046 | 02/10/2023 | Claimant(s): Anne Holland-McCowan Claimant Lawyers(s): Aaron Lee Arndt Respondent(s): Andrew Hess, Sanford C. Bernstein & Co. Respondent Lawyers(s): Brian T. Burns Arbitrator(s): Joseph Winter, Kenneth M. Weinman, Adam Michael Porter Hearing Site: Los Angeles, CA
| | Expungement |
19-02741 | 03/04/2021 | Claimant(s): Jonathan Siegel Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Timothy N. Will Arbitrator(s): Edith N. Dinneen, Kenneth M. Weinman, Michael John Florio Hearing Site: Los Angeles, CA
| | Expungement |
18-03463 | 11/01/2019 | Claimant(s): Mark Tsuchiyose, Bay Area Digestive Health Medical Grp T, Mark & Kazumi Tsuchiyose Trust Claimant Lawyers(s): Marc I Zussman Respondent(s): John Lau, Girard Securities., LFS Asset Management Respondent Lawyers(s): Craig Zafis, Elizabeth Lowery Arbitrator(s): Kenneth M. Weinman, Eric Gad Forster, Leslie Marie Hopp Hearing Site: Los Angeles, CA
| | $0 |
16-00979 | 05/12/2017 | Claimant(s): William Conklin, William Conklin IRA, William Conklin TOD Account Claimant Lawyers(s): Ryan K. Bakhtiari Respondent(s): LPL Financial LLC Respondent Lawyers(s): Kirsten Patzer Arbitrator(s): Robert F. Saint-Aubin, W. Alex King, Kenneth M. Weinman Hearing Site: Los Angeles, CA
| | $0 |