18-00555 | 02/19/2019 | Claimant(s): Joan Waldman Claimant Lawyers(s): Leslie S Akins Respondent(s): Gary Wei, Citigroup Global Markets. Respondent Lawyers(s): Elizabeth H. Lindh Arbitrator(s): Robert D. Sussin, Robert B. Hansohn, Yvonne Brathwaite Burke Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12504 |
17-03334 | 02/13/2019 | Claimant(s): Vanguard Marketing Corporation Claimant Lawyers(s): Julie E. Ravis Respondent(s): Derek Zupancic Respondent Lawyers(s): Derek Zupancic Arbitrator(s): Thomas E. Shuck, Kendall C. Reed, Frank Centofanti Hearing Site: Los Angeles, CA
| | $0 |
16-02805 | 01/08/2019 | Claimant(s): Oscar Celasco, Centrica Invt Capital Inc., G.S.S. Capital Group Limited, GSSC Holdings LTD, GSSC SP, Mesoamerica Acre Farms., Westwood Holding Inc. Claimant Lawyers(s): Matthew L. Jones Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Timothy P. Burke Arbitrator(s): Gary Timothy Haight, Laurent C. Vonderweidt, A. Joel Klein Hearing Site: Los Angeles, CA
| | $0 |
17-01319 | 01/04/2019 | Claimant(s): Altenhofen Revocable Trust Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): William McC. Montgomery Arbitrator(s): Barbara M. Zak, Jeffrey E. Skogsbergh, Yvonne Brathwaite Burke Hearing Site: Los Angeles, CA
| | Expungement |
15-03238 | 12/13/2018 | Claimant(s): David Caidar, David Caidar Trust Claimant Lawyers(s): Bruce D. Oakes Respondent(s): Morgan Stanley Respondent Lawyers(s): Nicholas Y. Lin Arbitrator(s): Elliott D. Finkel, Constance Ellen Boukidis, Thomas R. Watkins Hearing Site: Los Angeles, CA
| | $32,710 |
17-01741 | 11/15/2018 | Claimant(s): Jose Calderon Claimant Lawyers(s): Kenneth Catanzarite Respondent(s): Eric Marlin, Michael Cruz, Robert Hicks, Finance 500. Respondent Lawyers(s): Brandon S. Reif, Edward S. Zusman, Jeffrey S. Kob Arbitrator(s): Robert D. Sussin, Thomas E. Shuck, H. Stuart Waxman Hearing Site: Los Angeles, CA
| | $0 |
18-01437 | 10/26/2018 | Claimant(s): Charles Eden Claimant Lawyers(s): Charles E. Eden Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Rosa Linda Guadarrama Hearing Site: Los Angeles, CA
| | $5,921 |
17-00175 | 10/22/2018 | Claimant(s): Helena Galatolo, Susan Protzel, The Susan J. Protzel Trust U/A DTD 07/20 Claimant Lawyers(s): Ryan K. Bakhtiari Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): Rachel Weitzman Arbitrator(s): Barbara M. Zak, Gary Timothy Haight, Marc S. Joseph Hearing Site: Los Angeles, CA
| | $0 |
17-00407 | 10/15/2018 | Claimant(s): Marcia Berger, The Marcia Berger Brokerage Account, and, Marcia Berger IRA Claimant Lawyers(s): Ryan K. Bakhtiari Respondent(s): Independent Financial Group. Respondent Lawyers(s): Elliott M. Rector Arbitrator(s): Erik R. Siering, Robert F. Saint-Aubin, Damon Lovette Lewis Hearing Site: Los Angeles, CA
| | $0 |
16-03671 | 10/05/2018 | Claimant(s): Frank Meyers, Meyers FLP, Kepner Plastics Profit Sharin Plan, Frank Meyers Family Trust, Meryl Lee on behalf of Calle Mayor Trust Claimant Lawyers(s): Robert J. Girard Respondent(s): Morgan Stanley Respondent Lawyers(s): Melanie L. Ronen Arbitrator(s): Robert E. Jenks, Holly Banafsheh, Owen Frances Hearing Site: Los Angeles, CA
| | Expungement |