| 12-03959 | 09/05/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Tony Roberts, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern, Tony Roberts
Arbitrator(s): Kenneth E. Owen
Hearing Site: Los Angeles, CA
|  | $0 |
| 12-02997 | 08/28/2014 | Claimant(s): Martha Meripol, Ronald Meripol, Martha L. Meripol IRA, Ronald P. Meripol IRA
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): LPL Financial LLC, Ewald Vonkanel
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Ralph H. Erickson, Erik R. Siering, Darrell Thomas Reed
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-03003 | 08/28/2014 | Claimant(s): Susi Orlean Bahat Family Trust
Claimant Lawyers(s): Robert W. Shaffer
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-01387 | 08/19/2014 | Claimant(s): Daniel Cohen, Daniel L. Cohen 1980 Irrevocable Trust
Claimant Lawyers(s): James L. Parks, Thomas J. Meagher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Eric A. Herzog, Michael G. Shannon, Trae D. Meyr
Arbitrator(s): Kenneth E. Owen, W. Alex King, Peggy Jane Fisher
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12504 |
| 13-00415 | 08/07/2014 | Claimant(s): Elizabeth Steinlauf, ENS Family Trust U/D/T 12/27/11, Elizabeth N. Steinlauf Trust
Claimant Lawyers(s): Jahan K. Manasseh, Steven D. Toskes
Respondent(s): Timothy Neuville
Respondent Lawyers(s): Connie M. Anderson
Arbitrator(s): Victoria E. Johnson, Judith Porter, Karen L. Gold
Hearing Site: Los Angeles, CA
| | $0 |
| 12-04192 | 07/28/2014 | Claimant(s): Diegel Family Living Trust
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Alan M. Rosen
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-03331 | 07/25/2014 | Claimant(s): Ronn Lucas
Claimant Lawyers(s): Robert Rosen
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony Valenzuela
Arbitrator(s): Sandra L. Malek
Hearing Site: Los Angeles, CA
| | $0 |
| 11-02801 | 07/24/2014 | Claimant(s): Byron Crawford
Claimant Lawyers(s): George S. Trevor
Respondent(s): Robert Gordon, Twenty-First Securities Corporation
Respondent Lawyers(s): Daniel Gildin
Arbitrator(s): Alan Stamm, Barbara M. Zak, David Zollman
Hearing Site: Los Angeles, CA
| | $0 |
| 12-03247 | 06/27/2014 | Claimant(s): Robert Blakeman and Anne Blakeman Mahr
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Barry Bayat, UBS Financial Services Inc.
Respondent Lawyers(s): Michael M. Gless, Tara B. Voss
Arbitrator(s): Michael D. Harrison, Dorothy B. Strackbein, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-02789 | 06/26/2014 | Claimant(s): The Hextall Family Living Trust 1-17-07
Claimant Lawyers(s): Richard Sacks
Respondent(s): J.P. Morgan Securities, Robert Klein
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): Steven A. Wawra, Norman Michael Garland, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | Expungement |
