| 15-03006 | 04/25/2017 | Claimant(s): Baynes Family Trust, Jack A. and Sarah Cohen Family Trust
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Daniel Levin, Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona
Arbitrator(s): Neil S. Jasper, Michael Joseph Desmond, DeMarlo Matine Sims
Hearing Site: Los Angeles, CA
|  | Expungement |
| 16-00348 | 04/19/2017 | Claimant(s): Steven Zap Entertainment 401(k) Profit S
Claimant Lawyers(s): Cristina Hernandez
Respondent(s): Alec Pedersen, Eric Smutko, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-03474 | 04/19/2017 | Claimant(s): Samuel Hwang
Claimant Lawyers(s): Samuel S. Hwang
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $0 |
| 14-03166 | 04/11/2017 | Claimant(s): Jaleh Miller
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Steven A. Wawra, Nancy G. Harris, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00762 | 04/06/2017 | Claimant(s): Larry Rabineau
Claimant Lawyers(s): Larry Rabineau
Respondent(s): Donald Kartoon, Morgan Stanley
Respondent Lawyers(s): Christine A. Kendrick
Arbitrator(s): Larry Edmonson, Richard Maurice Robinson, Matthew Syken
Hearing Site: Los Angeles, CA
| | $4,000 |
| 16-00677 | 03/27/2017 | Claimant(s): Ruby Maddox
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates., Kathleen Tarr
Respondent Lawyers(s): G. Thomas Fleming, Paul W. Thomas
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-02272 | 03/01/2017 | Claimant(s): Ronald Lee
Claimant Lawyers(s): Lisa Garvin Copeland
Respondent(s): Isadore Schifano, Charles Schwab & Co..
Respondent Lawyers(s): Greg Scanlon
Arbitrator(s): Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02755 | 02/14/2017 | Claimant(s): Dorothy Diehl
Claimant Lawyers(s): Dorothy Diehl
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Michael Regan
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | $300 |
| 15-00353 | 02/10/2017 | Claimant(s): Sheila Fernandes
Claimant Lawyers(s): Shyla Fernandes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Robert D. Sussin, Benjamin F. Breslauer, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
| | $0 |
| 13-00215 | 02/06/2017 | Claimant(s): Richard Strang
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Robert Marks
Respondent Lawyers(s): Kevin J. Werner
Arbitrator(s): James A. Sigler, Mark S. Priver, Michael M. Hachigian
Hearing Site: Los Angeles, CA
| | $29,920 |
