15-02476 | 09/23/2016 | Claimant(s): Patricia White, William White, The White Living Trust Dated 3/14/1989 Claimant Lawyers(s): David Harrison Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): Kendra Canape Arbitrator(s): Kenneth E. Owen, Joseph Francis Young, Loyd A Wright Hearing Site: Los Angeles, CA
| | $0 |
12-03959 | 09/05/2014 | Claimant(s): Claimant Lawyers(s): Respondent(s): Tony Roberts, Investors Capital Corp. Respondent Lawyers(s): James A. McGovern, Tony Roberts Arbitrator(s): Kenneth E. Owen Hearing Site: Los Angeles, CA
| | $0 |
13-01387 | 08/19/2014 | Claimant(s): Daniel Cohen, Daniel L. Cohen 1980 Irrevocable Trust Claimant Lawyers(s): James L. Parks, Thomas J. Meagher Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Fidelity Brokerage Services LLC, National Financial Services LLC Respondent Lawyers(s): Eric A. Herzog, Michael G. Shannon, Trae D. Meyr Arbitrator(s): Kenneth E. Owen, W. Alex King, Peggy Jane Fisher Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12504 |
13-00785 | 06/09/2014 | Claimant(s): Jeanette Brown, Lowell Brown Claimant Lawyers(s): Jeanette S. Brown Respondent(s): Aurielle Nelsen, Donald Davis, Elisabeth Kratka, Joseph Gilbert, Morgan Stanley, Nathan Dilts, Robert Perry, Stephen Suzuki, Steven Easler, Tammy D'Agostino Respondent Lawyers(s): Debra V. Achkire Arbitrator(s): Kenneth E. Owen, Gerald F. Corrigan, David Paul Beauvais Hearing Site: Los Angeles, CA
| | $4,430 |
12-00146 | 11/14/2013 | Claimant(s): James Kaczmarek, John Hall, Mary Kaczmarek Claimant Lawyers(s): Bradd L. Milove Respondent(s): Andrew HorowitzL Financial LLC, Scott Doll, Doll Capital Advisors, The Estate Management Group. Respondent Lawyers(s): David Markun, Ryan Gustafson Arbitrator(s): Martin Olinick, Kenneth E. Owen, Neil S. Jasper Hearing Site: Los Angeles, CA
| | Expungement |
09-02510 | 01/08/2013 | Claimant(s): Keith Miller, Keith D. Miller IRA Claimant Lawyers(s): Jonathan W. Evans Respondent(s): Anthony Salino, Joseph Degregorio, Lynn Schultz, Ron Ison, Roy Cohen, Mercer Capital Ltd. Respondent Lawyers(s): Anthony John Salino, David Schrader, Lynn Gordon Schultz, Ron Jason Ison, Roy Cohen Arbitrator(s): Herbert Murez, Kenneth E. Owen, Cheryl Marie Allain-Mee Hearing Site: Los Angeles, CA
| | $90,000 |
09-04009 | 02/22/2011 | Claimant(s): The Bypass Trust of the Allderdice, The King Credit Shelter Trust Claimant Lawyers(s): Jonathan W. Evans Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Kathleen S Adams Arbitrator(s): Kenneth E. Owen, Karen A. Lockwood, Thomas W. Gregory Hearing Site: Los Angeles, CA
| | Expungement |
09-05536 | 08/11/2010 | Claimant(s): Alfred Davenport Jr., A.L. Davenport Trust Claimant Lawyers(s): Robert L. Risley Respondent(s): Bjorn Hauerbach, Donald Gorsch, Edward Tom, UBS Financial Services Inc., UBS Respondent Lawyers(s): Corporate Officer, Neal S. Robb Arbitrator(s): Theodore G. Bradpiece, Kenneth E. Owen, Cathleen M. Cobb Hearing Site: Los Angeles, CA
| | $0 |
07-02573 | 06/12/2008 | Claimant(s): Jack Kriegsman Claimant Lawyers(s): Jack Kriegsman Respondent(s): Ernest Ciaccio, Fidelity Brokerage Services LLC Respondent Lawyers(s): Melissa Hegger Shea Arbitrator(s): Kenneth E. Owen Hearing Site: Los Angeles, CA
| | $0 |
07-00803 | 04/04/2008 | Claimant(s): A.G. Edwards & Sons. Claimant Lawyers(s): Dennis Capriglione Respondent(s): Thomas McGowan Respondent Lawyers(s): Thomas Joseph McGowan Arbitrator(s): Kenneth E. Owen, Michael D. Harrison, Steven A. Fox Hearing Site: Los Angeles, CA
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