| 14-03649 | 05/19/2016 | Claimant(s): Arthur Torrellas, Arthur A. Torrellas Q-Tip Marital Trust, Arthur A. Torrellas Survivor's Trust, Arthur Torrellas NonExempt QTip Marital, Carole M. Torrellas Decedent's Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors, Eric Spraker, Richard Spraker
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Ronald L. Cameron, Robert Rosen, Steven K. Ogata
Hearing Site: Los Angeles, CA
|  | Expungement |
| 15-00362 | 05/19/2016 | Claimant(s): Martha Welborne
Claimant Lawyers(s): Brian D. Boydston
Respondent(s): Charles Bohlen, Stern Fisher Edwards Inc.
Respondent Lawyers(s): Edward Gartenberg
Arbitrator(s): Steven Gourley, Ronald L. Cameron, Laurent C. Vonderweidt
Hearing Site: Los Angeles, CA
| | $297,000 |
| 15-01412 | 05/13/2016 | Claimant(s): Stuart Simpson
Claimant Lawyers(s): John L. Palmer
Respondent(s): Paulson Investment Company, James Schwartz, Joseph Lascala, Kevin Stamm, Shawn Mcchesney, Steven Luftschein, Thomas Custance
Respondent Lawyers(s): James Bradley Schwartz, Joseph Brian Lascala, Kevin Robert Stamm, Stephen P. McCarthy, Steven Robert Luftschein, Tanya Durkee Urbach, Thomas Michael Custance
Arbitrator(s): Jeffrey L. Malek
Hearing Site: Los Angeles, CA
| | $300 |
| 14-02279 | 05/04/2016 | Claimant(s): Gary Croan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Fordham Financial Management.
Respondent Lawyers(s): Phyllis Henderson
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
| | $8,847 |
| 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 |
| 15-00830 | 04/15/2016 | Claimant(s): Nagarajan Ramasamy
Claimant Lawyers(s): Nagarajan Ramasamy
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Lawton Graves
Arbitrator(s): G. Thomas Fleming, Thomas E. Shuck, George L. Tindall
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00974 | 04/14/2016 | Claimant(s): Donna Johnson IRA
Claimant Lawyers(s): T. John Kirk
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Autumn Crowell
Arbitrator(s): Ronald L. Cameron
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-02766 | 04/04/2016 | Claimant(s): Melissa Conway
Claimant Lawyers(s): Robert L. Schibel
Respondent(s): Wells Fargo Advisors, Daniel Klein
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert D. Sussin, Norman Michael Garland, Robert Edward Koondel
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-03223 | 03/30/2016 | Claimant(s): Soleiman Ghalili
Claimant Lawyers(s): Ken Nathanson
Respondent(s): Steven Bernstein, Metropolitan Life Insurance Company
Respondent Lawyers(s): Alexandra Drury, Jeffrey E. Fields
Arbitrator(s): June McLaughlin, Robert Alan Merring, Jack R. Goetz
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-01161 | 03/22/2016 | Claimant(s): Elizabeth Canino, Eugene Canino, Eugene Canino Trust
Claimant Lawyers(s): Leonard Steiner
Respondent(s): Harold McNaughton, Sagepoint Financial.
Respondent Lawyers(s): Amir Tadjedin, Elizabeth Poletti
Arbitrator(s): Susan B. Gans-Smith, Elizabeth Anne Moreno, W. Scott Bowersock
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
