| 23-00312 | 12/04/2023 | Claimant(s): Andrea Freedlund
Claimant Lawyers(s): Andrea J. Freedlund
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): Jack R. Goetz, Steven H. Gentry, Gecole L. Harley
Hearing Site: Los Angeles, CA
|  | $175 |
| 22-01350 | 11/02/2023 | Claimant(s): Elite Pet Grooming Inc., Tadazzleme
Claimant Lawyers(s): Timika Snorton
Respondent(s): Brex Treasury LLC
Respondent Lawyers(s): Edrei G. Swanson
Arbitrator(s): Kirtley M. Thiesmeyer, Steven H. Gentry, Maggie Soleimani
Hearing Site: Los Angeles, CA
| | $0 |
| 22-01103 | 08/01/2023 | Claimant(s): Nicholas Donovan, Nicholas & Antonieta Garcia Donovan
Claimant Lawyers(s): Sanford Mitchell Passman
Respondent(s): Herbert Messick, Cetera Advisor Networks LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Steven H. Gentry
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-01168 | 11/24/2021 | Claimant(s): Abram Hernandez
Claimant Lawyers(s): Alex Farzan
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): Steven H. Gentry
Hearing Site: Los Angeles, CA
| | $0 |
| 18-03524 | 07/30/2021 | Claimant(s): Sergio Praslin
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Investments
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Erik R. Siering, Eric Gad Forster, Steven H. Gentry
Hearing Site: Los Angeles, CA
| | Expungement |
| 19-02898 | 12/23/2020 | Claimant(s): Minoo Daneshrad, Minoo Daneshrad IRA
Claimant Lawyers(s): Gregory Simon
Respondent(s): Western International Securities.
Respondent Lawyers(s): Jeffrey Compton
Arbitrator(s): Kirtley M. Thiesmeyer, Steven H. Gentry, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
| | Settlement |
| 17-02598 | 04/09/2019 | Claimant(s): Steven Moreno
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): T. Peter R. Pound
Arbitrator(s): Thomas E. Shuck, Lori A. Coleman, Steven H. Gentry
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
| 17-01678 | 03/14/2019 | Claimant(s): C.Billington S.T. for J.Billington Trust
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): P. Burke Esq.
Arbitrator(s): Anita Rae Shapiro, Noel Harvey Applebaum, Steven H. Gentry
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 16-03729 | 01/09/2018 | Claimant(s): John Wartman, John M. Wartman Roth IRA
Claimant Lawyers(s): John M. Wartman
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Steven H. Gentry
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00027 | 05/19/2017 | Claimant(s): Robert Dale, Robert Dale IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): Daniel Levin, Scott Schroeder
Respondent Lawyers(s): Daniel Edward Levin, Scott Donovan Schroeder
Arbitrator(s): Elliott Zachary Seff, Brent J. Rosenbaum, Steven H. Gentry
Hearing Site: Los Angeles, CA
| | $23,848 |
