| 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 |
| 18-00853 | 05/08/2019 | Claimant(s): Carolyn Jacobs, Charles Vaughn, Deanette Vaughn, Joseph Dominick, Robert Meyer, Rosemary Workman, Scott Fortin, Steven Jacobs, The Charles W Jacobs Family Trust, The Katherine Alfred Trust
Claimant Lawyers(s): John S. Chapman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Linda L. Drummond, Mary M. O'Neil, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $0 |
| 18-00122 | 04/10/2019 | Claimant(s): Paula Tyler, Trustee Tyler Family Trust
Claimant Lawyers(s): Joseph S. Schuchert
Respondent(s): National Securities Corporation, Folio Investments.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Mary M. O'Neil, Earl Robert Jordan, Bonnie Chavez
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01020 | 06/22/2018 | Claimant(s): Lisa Pola
Claimant Lawyers(s): Tracy P Stoneman
Respondent(s): Morgan Stanley, Robert Perry
Respondent Lawyers(s): John S. Worden
Arbitrator(s): Michael Harrison, Mary M. O'Neil, Charles Chia-Lin Hsieh
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02661 | 04/02/2018 | Claimant(s): Elaine Peconi, The Elaine Peconi Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Mary M. O'Neil, Natalie Panossian-Bassler, Stephen Mack
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-01813 | 05/31/2017 | Claimant(s): Simon Fields
Claimant Lawyers(s): Mark Gaylord
Respondent(s): Guillaume Chavaneau, Gurpreet Singh, Shane Melito
Respondent Lawyers(s): Guillaume Gpa Chavaneau, Gurpreet Singh, Shane Joseph Melito
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $51,459 |
| 15-01665 | 11/22/2016 | Claimant(s): Praveen Chandra
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Mary M. O'Neil, Brent J. Rosenbaum, Michael John Florio
Hearing Site: Las Vegas, NV
| | $0 |
| 14-03641 | 11/09/2016 | Claimant(s): Joseph Guglielmo, JFG Music, King Edward Baltimore, Leland Hotel Development
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Melissa M. Muehfeld
Arbitrator(s): Mary M. O'Neil, Michael John Florio, Cynthia Ruth Saffir
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-01311 | 03/16/2016 | Claimant(s): Suzanne Taylor
Claimant Lawyers(s): Deanna Besbekos
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Mary M. O'Neil, Daniel Lawrence Pearlman, Michael Joseph Desmond
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 13-02435 | 08/05/2015 | Claimant(s): Jon Deusenberry
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Morris S. Getzels, Mary M. O'Neil, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
| | Expungement |
