| 22-00084 | 07/31/2023 | Claimant(s): Eric Garofano, The Advisory and Management Group.
Claimant Lawyers(s): Aaron Israels
Respondent(s): Sean McDevitt
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Michael Harrison, Richard Maurice Robinson, McKinley Perkins
Hearing Site: Los Angeles, CA
|  | Expungement |
| 22-02371 | 02/24/2023 | Claimant(s): Lewis Steward
Claimant Lawyers(s): Lewis Steward
Respondent(s): Richard Sanders
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | $300 |
| 20-03717 | 08/19/2022 | Claimant(s): Greg Meyer
Claimant Lawyers(s): Noah Green
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Michael Harrison, Russell T. Doe, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | Expungement |
| 19-02084 | 03/29/2022 | Claimant(s): Tian Lu
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Smansa Chu, Cetera Investment Services LLC
Respondent Lawyers(s): Christina Z. Vourakis
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-02475 | 07/08/2021 | Claimant(s): Angelo Pastorino
Claimant Lawyers(s): James G. Morris
Respondent(s): Christopher Miller, Raymond Sun, Trevor Gordon, Sandlapper Securities, Sandlapper Student Housing LLC, Specialized Wealth Management
Respondent Lawyers(s): Cameron S. Matheson, Sylvia M. Scott, Trevor L. Gordon
Arbitrator(s): Steven Gourley, Michael Harrison, Peggy Jane Fisher
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 |
| 16-00826 | 08/23/2017 | Claimant(s): Charles Morgan, Charles W. Morgan Revocable Living Trust
Claimant Lawyers(s): Charles W. Morgan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie, Esq.
Arbitrator(s): Michael Harrison, Richard M. Norman, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-02408 | 07/07/2017 | Claimant(s): Randall Moses
Claimant Lawyers(s): Randall H. Moses
Respondent(s): Dawn Winship
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-02910 | 06/09/2017 | Claimant(s): Estate of Mary Anne Trottier
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Morgan Stanley, Steven Crawford
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Steven Gourley, Mark S. Priver, Michael Harrison
Hearing Site: Los Angeles, CA
| | $396,623 |
| 14-01674 | 12/20/2016 | Claimant(s): George Kezios
Claimant Lawyers(s): Stephen J. Thomas
Respondent(s): Wells Fargo Advisors, Gregory Chachas
Respondent Lawyers(s): Judy Louie
Arbitrator(s): John Alen DeRosa, Michael D. Harrison, Joseph Winter
Hearing Site: Los Angeles, CA
| | Expungement |
