| 15-02108 | 07/05/2017 | Claimant(s): Michael Gallion, The Estate of Nancy Gallion
Claimant Lawyers(s): John D. Singer
Respondent(s): Calvin Zara, Pruco Securities.
Respondent Lawyers(s): Courtney Stieber, David H. Jarvis
Arbitrator(s): Kenneth E. Owen, Joseph Winter, Daniel Lawrence Pearlman
Hearing Site: Los Angeles, CA
|  | Expungement |
| 17-00273 | 06/23/2017 | Claimant(s): Simco Company
Claimant Lawyers(s): Bruce Simon
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
| | $0 |
| 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 |
| 16-00460 | 06/05/2017 | Claimant(s): Ronnie Harper, Ronnie Benny Harper Revocable Living Tru
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Royal Alliance Associates., Regal Advisory Services.
Respondent Lawyers(s): Frederick A. Rafeedie
Arbitrator(s): Neil S. Jasper, Edward A. Trabin, W. Alex King
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00503 | 06/01/2017 | Claimant(s): Jorge Casas IRA
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Shareholders Service Group.
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Benjamin F. Breslauer, Daniel Lawrence Pearlman, Isaac K. Tasinga
Hearing Site: Los Angeles, CA
| | $0 |
| 16-01813 | 05/31/2017 | Claimant(s): Simon Fields
Claimant Lawyers(s): Mark Gaylord
Respondent(s): Guillaume Chavaneau, Gurpreet Singh, Shane Melito
Respondent Lawyers(s): Guillaume Gpa Chavaneau, Gurpreet Singh, Shane Joseph Melito
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $51,459 |
| 15-00027 | 05/19/2017 | Claimant(s): Robert Dale, Robert Dale IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): Daniel Levin, Scott Schroeder
Respondent Lawyers(s): Daniel Edward Levin, Scott Donovan Schroeder
Arbitrator(s): Elliott Zachary Seff, Brent J. Rosenbaum, Steven H. Gentry
Hearing Site: Los Angeles, CA
| | $23,848 |
| 14-03220 | 05/18/2017 | Claimant(s): Angelina Gerber, Harvey Gerber, H&A Gerber Trust dated 7/5/2005, The Lambert Family Trust dd 11/4/2007
Claimant Lawyers(s): Philip Aidikoff, Ryan K. Bakhtiari
Respondent(s): Charles Laverty, Oppenheimer & Co.., UBS Financial Services Inc.
Respondent Lawyers(s): Gary R. Wallace, Neal S. Robb, Robert B. Ericson
Arbitrator(s): Elliott Zachary Seff, Arthur T. Berggren, Cherie S. Lewis
Hearing Site: Los Angeles, CA
| | $1,379,400 |
| 14-01424 | 05/17/2017 | Claimant(s): Roger Donenfeld, Roger F. Donenfeld IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Daniel Terpak, National Securities Corporation, Melvin Stoutenburg, Mohammed Sheikh
Respondent Lawyers(s): Michael P. Gilmore, Randall C. Place
Arbitrator(s): Michael M. Hachigian, Robert E. Jenks, Madina C. Boland
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00979 | 05/12/2017 | Claimant(s): William Conklin, William Conklin IRA, William Conklin TOD Account
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Robert F. Saint-Aubin, W. Alex King, Kenneth M. Weinman
Hearing Site: Los Angeles, CA
| | $0 |
