| 11-01377 | 03/04/2013 | Claimant(s): Scott Teter
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Elizabeth A. Copley, Herbert Murez, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
|  | Expungement |
| 12-00973 | 11/28/2012 | Claimant(s): Robert Zepfel
Claimant Lawyers(s): Robert J Zepfel
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg Scanlon
Arbitrator(s): Elizabeth A. Copley
Hearing Site: Los Angeles, CA
| | $5,600 |
| 09-04546 | 06/22/2012 | Claimant(s): Soheil Davood
Claimant Lawyers(s): Soheil Davood
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Blaine Smith, Elizabeth A. Copley, Ronald E. Malmfeldt
Hearing Site: Los Angeles, CA
| | $0 |
| 10-02248 | 01/12/2012 | Claimant(s): Derek LaFavor, LaFavor Investments, L.P.
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): LPL Financial LLC, Michael Manning, Hamilton, Manning & Associates
Respondent Lawyers(s): John Kincade, John Singer
Arbitrator(s): Elizabeth A. Copley, Theodore T. Wdowiak, Anita Rae Shapiro
Hearing Site: Las Vegas, NV
| | Stipulated Award and Expungement |
| 10-00502 | 12/13/2011 | Claimant(s): Carmela Di Gregorio
Claimant Lawyers(s): Thomas R. Catanese
Respondent(s): Oppenheimer & Co.., Ronald Kunze
Respondent Lawyers(s): Diana H. Sur, Robert J. Girard
Arbitrator(s): John E. Ohashi, Elizabeth A. Copley, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-03872 | 02/15/2011 | Claimant(s): Magaly Thrasher, Sean R. Burns UTMA/CA, Jerold & Magaly Thrasher Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Bruce Hallenbeck, Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Barbara M. Zak, Elizabeth A. Copley, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | $105,000 |
| 09-00339 | 12/20/2010 | Claimant(s): Dominic Annino, DVA Family Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Wells Fargo Investments, Kennon Klein
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Elizabeth A. Copley, Milton N. Gross, Ara Kassabian
Hearing Site: Los Angeles, CA
| | $125,000 |
| 08-03023 | 11/12/2010 | Claimant(s): Edgar Clark, Edgar T. Clark Charles Schwab & Co Inc.
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Elizabeth A. Copley, David Nielsen, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | Expungement |
| 08-02874 | 11/12/2010 | Claimant(s): Matt Lichtenberg, Viveca Paulin, Will Ferrell, David Living Trust
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): Linda L. Blackwell, Elizabeth A. Copley, David L. Maislen
Hearing Site: Los Angeles, CA
| | $0 |
| 09-01568 | 11/10/2010 | Claimant(s): Jordan Moffet, Margot Trombley, Trustees of the Moffet Family Trust
Claimant Lawyers(s): Todd A. Higgins
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Devin A. Donahue
Arbitrator(s): Mary L. Williams, Elizabeth A. Copley, David Nielsen
Hearing Site: Los Angeles, CA
| | $668,820 |
