| 12-00384 | 11/20/2012 | Claimant(s): Justin Paperny
Claimant Lawyers(s): Brian D Boydston
Respondent(s): Christine Kreps, Damon Johnson, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David Maurer, Eric A. Herzog
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
|  | Expungement |
| 10-05367 | 05/04/2012 | Claimant(s): William Condon
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Reuven Enterprises Sec. Division
Respondent Lawyers(s): Michael Huberman
Arbitrator(s): Robert W. Vernon, Anita Rae Shapiro, James M. Goldberg
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02248 | 01/12/2012 | Claimant(s): Derek LaFavor, LaFavor Investments, L.P.
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): LPL Financial LLC, Michael Manning, Hamilton, Manning & Associates
Respondent Lawyers(s): John Kincade, John Singer
Arbitrator(s): Elizabeth A. Copley, Theodore T. Wdowiak, Anita Rae Shapiro
Hearing Site: Las Vegas, NV
| | Stipulated Award and Expungement |
| 09-06463 | 11/11/2011 | Claimant(s): Charles Young, Charles J. Young DDS Inc. PSP
Claimant Lawyers(s): Michael Blumenfeld, Robert Girard
Respondent(s): Gordon Carlson
Respondent Lawyers(s): Kevin L. Wheeler
Arbitrator(s): James A. Sigler, Henry Marris Wollman, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-05898 | 06/28/2011 | Claimant(s): Daniel L. Villanueva Family Trust
Claimant Lawyers(s): Aimee E. Dominguez
Respondent(s): Wedbush Securities Inc., Javier Jimenez
Respondent Lawyers(s): John W. Stenson
Arbitrator(s): Suzanne Viau Chamberlain, David Maurer, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $89,100 |
| 09-04737 | 02/11/2010 | Claimant(s): Joy Deschaine, IRA
Claimant Lawyers(s): Joy Deschaine
Respondent(s): UBS Financial Services Inc., Richard Bernstein
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $0 |
| 07-00417 | 11/12/2007 | Claimant(s): Elizabeth Bondoc
Claimant Lawyers(s): Neda Ataie
Respondent(s): Wachovia Securities, Stephen Wilson
Respondent Lawyers(s): Peter Brown Dolan, Ryan P. Smith
Arbitrator(s): William E. Winfield, Troy C. Sumrall, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $13,713 |
| 07-00056 | 08/09/2007 | Claimant(s): Welch Family Trust dtd 10/31/91
Claimant Lawyers(s): Chris Rolin
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $150 |
