14-03220 | 05/18/2017 | Claimant(s): Angelina Gerber, Harvey Gerber, H&A Gerber Trust dated 7/5/2005, The Lambert Family Trust dd 11/4/2007 Claimant Lawyers(s): Philip Aidikoff, Ryan K. Bakhtiari Respondent(s): Charles Laverty, Oppenheimer & Co.., UBS Financial Services Inc. Respondent Lawyers(s): Gary R. Wallace, Neal S. Robb, Robert B. Ericson Arbitrator(s): Elliott Zachary Seff, Arthur T. Berggren, Cherie S. Lewis Hearing Site: Los Angeles, CA
| | $1,379,400 |
12-02582 | 01/13/2015 | Claimant(s): Blue Bank International N.V. Claimant Lawyers(s): Ralph M. Stone Respondent(s): Mark Yale, HSBC Securities (USA) Inc. Respondent Lawyers(s): Robert B. Ericson Arbitrator(s): Lawrence S. Silver, Donald Theodore Ryce, Paul Chernis Hearing Site: Miami, FL
| | $3,250,000 |
09-02583 | 11/29/2011 | Claimant(s): Jose Castaneda, Felicitas Castaneda Claimant Lawyers(s): Jose Castaneda Respondent(s): Chase Investment Services Corp. Respondent Lawyers(s): Robert B. Ericson Arbitrator(s): Erik R. Siering, David L. Maislen, Henry Marris Wollman Hearing Site: Los Angeles, CA
| | $0 |
10-01168 | 01/19/2011 | Claimant(s): Robert Reynolds, Susan Pitsch Reynolds, The 403-B Plan FBO Susan H. Pitch-Reynol, The Reynolds Living Trust U/A 6/14/03 Claimant Lawyers(s): Robert A. Uhl Respondent(s): Sagepoint Financial. Respondent Lawyers(s): Robert B. Ericson Arbitrator(s): Ralph B. Perry, Mary M. O'Neil, Christopher William Shaw Hearing Site: Los Angeles, CA
| | Expungement |
10-01800 | 01/07/2011 | Claimant(s): Jimmy Hair, Karen Hair, Oceans 30. Claimant Lawyers(s): Rosemary J. Shockman Respondent(s): Jared Roskelley, Sagepoint Financial., Keith Degreen Respondent Lawyers(s): Alan Baskin, Robert B. Ericson, Robert D. Mitchell Arbitrator(s): Charles W. Herf, Marc Kalish, Henry L. Dahl Hearing Site: Phoenix, AZ
| | Expungement |