| 13-00532 | 04/16/2014 | Claimant(s): Lingo Family Trust
Claimant Lawyers(s): E. Anthony Reguero
Respondent(s): Jim Lund, Robert Tweed, Capwest Securities., United Securities Alliance.
Respondent Lawyers(s): Dale K. Hall, H Thomas Fehn, Michael Jones
Arbitrator(s): Herbert Leslie Greenberg, Joseph Winter, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
|  | $0 |
| 12-01393 | 04/09/2014 | Claimant(s): John Arzoian, Linda Fass
Claimant Lawyers(s): John Arzoian
Respondent(s): Marquis Financial Services.
Respondent Lawyers(s): Art Okun
Arbitrator(s): Herbert Leslie Greenberg, Arthur F. Brueggeman, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | $5,808 |
| 12-01217 | 04/08/2014 | Claimant(s): David W. Ramey
Claimant Lawyers(s): Moshe Y. Singer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Norman Cousins Sasamori, James S. Carlson, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-00395 | 04/04/2014 | Claimant(s): Ellen Jackson, Thomas Jackson
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Newport Coast Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Michael D. Harrison, Milton N. Gross, Ted Paul Comfort
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-01931 | 03/21/2014 | Claimant(s): Justin Azarian, Loreta Azarian, Nicole Azarian, Paul Azarian, Loreta Azarian IRA, Loreta Azarian SEP IRA, Paul Azarian IRA, Paul Azarian SEP IRA, P&L Azarian Trust dtd 9/25/2008
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Art Okun, Gregory Goldstein, Marquis Financial Services.
Respondent Lawyers(s): Art Okun, Gregory E. Goldstein
Arbitrator(s): Robert Rosen, James Warren Hill, Brent Eric Zepke
Hearing Site: Los Angeles, CA
| | $309,750 |
| 13-01301 | 03/20/2014 | Claimant(s): Stacy Gale
Claimant Lawyers(s): Alan R. Polsky
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Edward J. Costello
Hearing Site: Los Angeles, CA
| | $29,547 |
| 13-02279 | 03/14/2014 | Claimant(s): Henry & Layla Steelman Family Trust
Claimant Lawyers(s): Henry Steelman
Respondent(s): Monte Traficante, Stockcross Financial Services.
Respondent Lawyers(s): Chris Albanese
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-02249 | 03/13/2014 | Claimant(s): Diana Sigalos, NFS/FMTC Rollover IRA FBO Anthony Sigalo, Anthony Sigalos Separate Property Trust, Sigalos Family Trust U/A 8/1/05
Claimant Lawyers(s): Anthony Sigalos, Diana Sigalos
Respondent(s): Aletheia Securities.
Respondent Lawyers(s): Roger B. Peikin
Arbitrator(s): Anita Rae Shapiro, Mark Alan Sevigny, John Suciu
Hearing Site: Los Angeles, CA
| | $876,780 |
| 13-02736 | 03/12/2014 | Claimant(s): Michael Sushel
Claimant Lawyers(s): Michael Sushel
Respondent(s): Ameriprise Financial Services., Vivian Chang
Respondent Lawyers(s): Elizabeth Del Cid
Arbitrator(s): Janice A. Salter
Hearing Site: Los Angeles, CA
| | $32,526 |
| 11-02736 | 03/04/2014 | Claimant(s): Bart Sullivan, Bart Sullivan.
Claimant Lawyers(s): Bart Sullivan
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Michael D. Harrison, Dennis A. Torres, Jack R. Goetz
Hearing Site: Los Angeles, CA
| | $0 |
