17-00430 | 03/05/2018 | Claimant(s): Alan Fields Claimant Lawyers(s): Jon E. Drucker Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward Walton Arbitrator(s): John E. Ohashi, Neil S. Jasper, Michael John Florio Hearing Site: Los Angeles, CA
| | $0 |
14-03685 | 12/08/2015 | Claimant(s): Thomas Newgard Claimant Lawyers(s): Jeffrey S. Kob Respondent(s): Linda Romero, Ron Romero Respondent Lawyers(s): Linda Romero, Ron Romero Arbitrator(s): John E. Ohashi Hearing Site: Los Angeles, CA
| | Expungement |
13-02381 | 02/20/2015 | Claimant(s): David Rose, Joanna Speed, Lawrence Rose, Clare Rose Trust, Zaillian Trust Claimant Lawyers(s): Edward H. Glenn Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): John E. Ohashi, June McLaughlin, Janice A. Salter Hearing Site: Los Angeles, CA
| | Expungement |
11-03347 | 11/19/2014 | Claimant(s): Claimant Lawyers(s): Respondent(s): Audrey Kuwabara, Jamie Bennett, Michael Ning, Phillip Rodriguez, Arque Capital, LTD Respondent Lawyers(s): Jared R.B. Hutton, Shirley Hayton Arbitrator(s): John E. Ohashi, CathyLyn Rossi, Pamela Jane Koslow Hearing Site: Los Angeles, CA
| | Expungement |
11-01309 | 12/20/2012 | Claimant(s): Andrew Mo Claimant Lawyers(s): Andrew Mo Respondent(s): Zecco Trading. Respondent Lawyers(s): Jeffrey S. Kob Arbitrator(s): Jeffrey E. Skogsbergh, John E. Ohashi, Milton N. Gross Hearing Site: Los Angeles, CA
| | $0 |
11-03007 | 07/26/2012 | Claimant(s): Linda Baker, Thomas Baker Claimant Lawyers(s): C. Maison Heidelberg, Ginny Y. Kennedy Respondent(s): Wachovia Securities Financial Network, Wachovia Securities Respondent Lawyers(s): David A. Picon, Erin Durba Arbitrator(s): Robert D. Sussin, John E. Ohashi, Randall N. Kirk Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
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 |
10-01085 | 04/26/2011 | Claimant(s): John Mason Claimant Lawyers(s): John A. Mason Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Kathleen S. Adams Arbitrator(s): John E. Ohashi, Harold K. Hunt, Mark A. Levy Hearing Site: Los Angeles, CA
| | $13,000 |
09-05799 | 10/13/2010 | Claimant(s): Ilyse Klavir Claimant Lawyers(s): David Harrison Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): Eric J. Glassman Arbitrator(s): John E. Ohashi, Catherine M. O'Brien, Susan B. Gans-Smith Hearing Site: Los Angeles, CA
| | $0 |
08-02069 | 07/23/2009 | Claimant(s): David Anderson, Loren Riebe, Nancy Jokerst, William McLean Claimant Lawyers(s): Kathleen F. Carpenter Respondent(s): Emmett A Larkin Company., Michael Dawes Respondent Lawyers(s): Howard Schiffman, Michael Andrew Dawes Arbitrator(s): John E. Ohashi, John F. Cordova, Jeanne E. Irving Hearing Site: Los Angeles, CA
| | $0 |