| 16-02369 | 03/05/2018 | Claimant(s): Ann Ellingson, Ann B. Ellingson IRA Accounts, Ellingson Family Partners Business Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Neil S. Jasper, Michael M. Hachigian, Mark Thomas Risner
Hearing Site: Los Angeles, CA
|  | Expungement |
| 17-00430 | 03/05/2018 | Claimant(s): Alan Fields
Claimant Lawyers(s): Jon E. Drucker
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Walton
Arbitrator(s): John E. Ohashi, Neil S. Jasper, Michael John Florio
Hearing Site: Los Angeles, CA
| | $0 |
| 16-01519 | 02/20/2018 | Claimant(s): Merle Propp, Robert Propp, Merle Carter Family Trust dated March 5,
Claimant Lawyers(s): Kristin M. Cano, Steven L. Stern
Respondent(s): Wells Fargo Advisors, Jackson National Life Distributors LLC
Respondent Lawyers(s): Kevin K. Fitzgerald, Patrick Y. Yoo
Arbitrator(s): Joseph Winter, Martin J. Kotowski, Steven Cohen
Hearing Site: Los Angeles, CA
| | Expungement |
| 17-01472 | 02/20/2018 | Claimant(s): Brian Campbell
Claimant Lawyers(s): Brian M. Campbell
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Lawton Graves
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01756 | 02/01/2018 | Claimant(s): Brian Wolf
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Danilo Fuentes, Dawson James Securities.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | $3,600 |
| 17-01290 | 01/24/2018 | Claimant(s): Nicholas & Erika Schwartz Rev Trust
Claimant Lawyers(s): Erika Schwartz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Denver G. Edwards
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $300 |
| 16-02038 | 01/23/2018 | Claimant(s): David Harter
Claimant Lawyers(s): David Neuman
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Kenneth E. Owen, Noel Harvey Applebaum, Joseph Francis Young
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-02710 | 01/19/2018 | Claimant(s): Marcus Nagel, Matthew Nagel
Claimant Lawyers(s): Marcus Nagel
Respondent(s): David Warren, Citigroup Global Markets., UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Adam M. Kauff, Andrew W. Sidman, Denver G. Edwards
Arbitrator(s): Steven Gourley, Howard A. Emirhanian, George Herman Frisch
Hearing Site: Los Angeles, CA
| | Dismissed by Rule (12200/12201) |
| 16-03729 | 01/09/2018 | Claimant(s): John Wartman, John M. Wartman Roth IRA
Claimant Lawyers(s): John M. Wartman
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Steven H. Gentry
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02678 | 01/03/2018 | Claimant(s): Richard Long
Claimant Lawyers(s): I. Donald Weissman
Respondent(s): J.P. Morgan Securities, Ruben Cavada
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Elliott David Finkel, Michael John Florio, John R Sustersic
Hearing Site: Los Angeles, CA
| | $0 |
