| 22-02819 | 09/27/2024 | Claimant(s): Daniela Schuvaks-Katz, Robert Alan Katz
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Andrea Steiner, Western International Securities.
Respondent Lawyers(s): Andrea Steiner, Jeffrey K. Compton
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Indianapolis, IN
|  | $0 |
| 21-02861 | 03/24/2023 | Claimant(s): Arnold Shvarts, Oksana Shvarts
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Bradley Kaiser, Donald Bizub, Hagop Nalbandian, Krikor Demirjian, Wendy Rea, Western International Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Robert D. Sussin, W. Alex King, Andrew W. Levin
Hearing Site: Los Angeles, CA
| | Expungement |
| 22-00187 | 03/01/2023 | Claimant(s): Janet Morris, Janet Morris on Behalf of Her IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): NPB Financial Group
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Edith N. Dinneen
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 13-00612 | 10/21/2014 | Claimant(s): Kerry Edwards
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Dawn Bennett, Western International Securities.
Respondent Lawyers(s): David E. Robbins, Jeffrey K. Compton
Arbitrator(s): Caryl S. Bernstein, Peter H. Goldberg, Karla Jayne Letsche
Hearing Site: Washington, DC
| | $100,250 |
| 12-00578 | 10/09/2013 | Claimant(s): PHK Trust
Claimant Lawyers(s): Kamyar R. Shayan
Respondent(s): David Crist, First Allied Securities., Sii Investments.
Respondent Lawyers(s): Jacquelyn Mohr, Jeffrey K. Compton
Arbitrator(s): Carolyn V. Quadt, Christopher J. Rogers, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04785 | 05/29/2013 | Claimant(s): Julie Haupt, Robert Haupt, Julie Haupt IRA, Julie Haupt Roth IRA, Robert Haupt IRA, Robert Haupt Roth IRA, Robert K. Haupt Family Revocable Trust
Claimant Lawyers(s): Ronald E. Miller, Thomas C. Bradley
Respondent(s): Dudley Probert, First Allied Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Donald N. Tolin, Suanne M. Parro, David L. Erickson
Hearing Site: Salt Lake City, UT
| | Expungement |
| 07-01168 | 07/15/2008 | Claimant(s): Jerry Mote
Claimant Lawyers(s): Laurel H. Siddoway
Respondent(s): Joan Block, John Cox, First Allied Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): F. Richard Middaugh, Joseph W. Cheek, James G. Harlan
Hearing Site: Boise, ID
| | $0 |
| 03-02675 | 02/22/2008 | Claimant(s): Kamran Tavakoli
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): John Farahi, Michael Khorsandi, Newpoint Securities
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Robert S. Granas, James M. Mulcahy, Russell T. Doe
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
