| 17-02090 | 11/23/2020 | Claimant(s): Colleen Simmons, Kenneth Thompson, Kenneth P. Thompson ROTH IRA, Simmons Living Trust U/A 08/30/02, Thompson Living Trust U/A 05/31/02
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Hightower Securities, Hightower Advisors
Respondent Lawyers(s): Matthew B. Henneman
Arbitrator(s): Richard M. Norman, Robert E. Jenks, Milton N. Gross
Hearing Site: Los Angeles, CA
|  | Settlement |
| 17-00791 | 07/01/2019 | Claimant(s): Mansoor Karamooz, Trustee
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Richard M. Norman, Edward H. Davis, Barry A. Fisher
Hearing Site: Los Angeles, CA
| | $209,482 |
| 18-02493 | 06/20/2019 | Claimant(s): Arthur Rahmani, Jacqueline Palmer
Claimant Lawyers(s): Jackie Palmer
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Richard M. Norman, Thomas R. Watkins, Abraham Semaila Kamara
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-02368 | 10/05/2017 | Claimant(s): Myron Allen, Myron Allen IRA
Claimant Lawyers(s): Thomas Gruenbeck
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Richard M. Norman, Gregory Douglas Stone, Holly Banafsheh
Hearing Site: Los Angeles, CA
| | $0 |
| 15-02285 | 09/21/2017 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ameriprise Financial Services., Li-Lin Hsu, American Express Financial Corporation
Respondent Lawyers(s): Chad Weaver, Li-Lin Hsu
Arbitrator(s): Richard M. Norman, Kirtley M. Thiesmeyer, Lorraine Woodwark
Hearing Site: Los Angeles, CA
| | Settlement |
| 16-00826 | 08/23/2017 | Claimant(s): Charles Morgan, Charles W. Morgan Revocable Living Trust
Claimant Lawyers(s): Charles W. Morgan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie, Esq.
Arbitrator(s): Michael Harrison, Richard M. Norman, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Expungement |
| 17-00273 | 06/23/2017 | Claimant(s): Simco Company
Claimant Lawyers(s): Bruce Simon
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
| | $0 |
| 14-03213 | 12/30/2015 | Claimant(s): Kenneth Hunt, Sharon Poulton, Kenneth Hunt Revocable Trust U/A dtd 11/, Sharon Poulton Revocable Trust
Claimant Lawyers(s): Jonathan Evans
Respondent(s): Jeffrey Fratarcangeli, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brandon Reif, Eric A. Herzog
Arbitrator(s): Chester L. Firestein, Richard M. Norman, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-02833 | 11/02/2015 | Claimant(s): Felyce Thomas
Claimant Lawyers(s): Herbert Wiggins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-02622 | 05/27/2015 | Claimant(s): HSH Family Trust U/A DTD 8/15/2011
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Herbert Murez, Laurent C. Vonderweidt, Richard M. Norman
Hearing Site: Los Angeles, CA
| | Expungement |
