18-03255 | 03/30/2020 | Claimant(s): Valerie Lupin Claimant Lawyers(s): Adrienne R. Hahn Respondent(s): Craig Stevens, J.P. Morgan Securities, Paul San Respondent Lawyers(s): Neal S. Robb Arbitrator(s): G Thomas Fleming, George L. Tindall, Annette Gres Shepherd Hearing Site: Los Angeles, CA
| | $0 |
15-02039 | 04/29/2016 | Claimant(s): Frances Cey, Gilbert Solomon, Judy Solomon, Ronald Cey Claimant Lawyers(s): Adam Gana, Adam Weinstein Respondent(s): First Allied Securities. Respondent Lawyers(s): Valerie N. Gallo Arbitrator(s): Joyce L. Hurley, Annette Gres Shepherd, Marvin B. Karelitz Hearing Site: Los Angeles, CA
| | Expungement |
12-01111 | 10/22/2012 | Claimant(s): Leroy Benton, Margaret Benton Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Carlos E. Provencio Arbitrator(s): Annette Gres Shepherd Hearing Site: Jackson, MS
| | $213 |
10-02766 | 05/24/2011 | Claimant(s): Brent Richtsmeier Claimant Lawyers(s): Joshua A. Waldman Respondent(s): Jack Kalisz, National Securities Corporation, Joseph Stevens & Co.. Respondent Lawyers(s): Josepha Sorbara, Mark Roth Arbitrator(s): Annette Gres Shepherd, Robert E. Jenks, Karen J. Burneff Hearing Site: Los Angeles, CA
| | Expungement |
10-02831 | 05/13/2011 | Claimant(s): Richard Schreiber, Richard E. Schreiber IRA, Richard E. Schreiber Retirement Trust Claimant Lawyers(s): Brian D. Miller Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management, In, The Charles Schwab Corporation Respondent Lawyers(s): Evelyn C. Best Arbitrator(s): David J. Anderson, Annette Gres Shepherd, Daniel R. Brush Hearing Site: Los Angeles, CA
| | Expungement |
03-06262 | 01/14/2008 | Claimant(s): Corene Barr, Richard A. Barr, Corene and Richard Barr Claimant Lawyers(s): Richard A. Barr Respondent(s): Gary Allen, Morgan Stanley DW Inc. Respondent Lawyers(s): Braden O. Wilhelm Arbitrator(s): Jon A. Bostrom, Ernest L. Burnside, Annette Gres Shepherd Hearing Site: Los Angeles, CA
| | $0 |