14-02126 | 02/24/2015 | Claimant(s): John Daciuk Claimant Lawyers(s): Adam Green Respondent(s): TD Ameritrade. Respondent Lawyers(s): Dana S. Gloor Arbitrator(s): Kendall C. Reed Hearing Site: Los Angeles, CA
| | $300 |
13-02381 | 02/20/2015 | Claimant(s): David Rose, Joanna Speed, Lawrence Rose, Clare Rose Trust, Zaillian Trust Claimant Lawyers(s): Edward H. Glenn Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): John E. Ohashi, June McLaughlin, Janice A. Salter Hearing Site: Los Angeles, CA
| | Expungement |
13-01263 | 02/04/2015 | Claimant(s): Willie Flores Claimant Lawyers(s): Eric A. Woosley Respondent(s): Christopher Ariola Respondent Lawyers(s): Christopher B. Ariola Arbitrator(s): Mary M. O'Neil, Robert Dean McKinley, David K. Slay Hearing Site: Los Angeles, CA
| | $0 |
13-03231 | 02/04/2015 | Claimant(s): Lila Luttrell Claimant Lawyers(s): Steve Buchwalter Respondent(s): George Bokios, Regal Securities. Respondent Lawyers(s): Brandon S. Reif Arbitrator(s): Blaine Smith, Richard J. Stall, Robert F. Saint-Aubin Hearing Site: Los Angeles, CA
| | Expungement |
14-01833 | 02/02/2015 | Claimant(s): Martha Peters, Martha Jo Peters, IRA Claimant Lawyers(s): Martha Jo Peters Respondent(s): Scottrade Inc. Respondent Lawyers(s): Mack E. McCain Arbitrator(s): Sandra L. Malek, Alan Stamm, Andrew Corell Wahrenbrock Hearing Site: Los Angeles, CA
| | $0 |
13-03313 | 01/23/2015 | Claimant(s): Karen Bonnheim Claimant Lawyers(s): Ryan K. Bakhtiari Respondent(s): Wedbush Securities Inc. Respondent Lawyers(s): Charles LaChaussee Arbitrator(s): Arthur F. Brueggeman, Constance Ellen Boukidis, Milton N. Gross Hearing Site: Los Angeles, CA
| | $351,400 |
14-00982 | 01/09/2015 | Claimant(s): Amanda Lenvin, Co-Executor of the Estate, David Lenvin, Estate of Michael William Lenvin Claimant Lawyers(s): Jon C. Furgison Respondent(s): Royal Alliance Associates. Respondent Lawyers(s): Gail E. Cohen Arbitrator(s): Edward J. Costello, Steven A. Wawra, Daniel Su Hearing Site: Los Angeles, CA
| | $884,220 |
13-01837 | 01/02/2015 | Claimant(s): Belva Jeanne Shultz Revocable Trust, Karen K. Fry, Atty in Fact Claimant Lawyers(s): Richard A. Nervig Respondent(s): John Thornes, Thornes & Associates. Invest Sec Respondent Lawyers(s): John Thomas Thornes, Stephen M. Oliveira Arbitrator(s): Michael G. Clark, Benjamin F. Breslauer, Michael John Florio Hearing Site: Los Angeles, CA
| | $4,525,120 |
14-03546 | 12/26/2014 | Claimant(s): Joe Solarsa Claimant Lawyers(s): Steven D. Toskes Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Andrew R. Park Arbitrator(s): Vincent J. Natoli, Salvatore A. Sciortino, Eric Gad Forster Hearing Site: Los Angeles, CA
| | Expungement |
14-02184 | 12/22/2014 | Claimant(s): Paul Inneo Claimant Lawyers(s): Paul Inneo Respondent(s): Michael Goodrich Respondent Lawyers(s): Ian J. Frimet Arbitrator(s): Joseph C. Watson Hearing Site: Los Angeles, CA
| | $163 |