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 |