| 23-02061 | 02/20/2024 | Claimant(s): Edward Yoon
Claimant Lawyers(s): Elizabeth Lowery
Respondent(s): Diana Offen, Mehdi Famili
Respondent Lawyers(s): Diana Offen, Mehdi Famili
Arbitrator(s): Mary M. O'Neil, Robert C. Albini, Daniel Farid Yasharel
Hearing Site: Los Angeles, CA
|  | Expungement |
| 21-02351 | 01/27/2022 | Claimant(s): Michael Lovelady
Claimant Lawyers(s): Michael Lovelady
Respondent(s): Tradestation Securities.
Respondent Lawyers(s): Steven M. Greenbaum
Arbitrator(s): Robert C. Albini
Hearing Site: Los Angeles, CA
| | $0 |
| 19-02274 | 10/05/2021 | Claimant(s): Hanala Sagal
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Nancy G. Harris, Thomas R. Watkins, Robert C. Albini
Hearing Site: Los Angeles, CA
| | $355,865 |
| 19-01927 | 05/27/2020 | Claimant(s): David Moore, David L. Moore IRA
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Joyce L. Hurley, Alan M. Rosen, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
| 18-03668 | 04/28/2020 | Claimant(s): Jeanna Carrick, Michael Carrick, Carrick Family Trust DTD 9/5/07
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Marsha Lee, First Allied Securities., Marsha Lee & Company.
Respondent Lawyers(s): Jeffrey Compton
Arbitrator(s): Ronald L. Cameron, Robert C. Albini, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00624 | 07/22/2016 | Claimant(s): Laura Bell
Claimant Lawyers(s): David Lefkowitz
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Arthur T. Berggren, Lawrence Yaeger, Robert C. Albini
Hearing Site: Los Angeles, CA
| | $625,000 |
| 12-04167 | 06/19/2014 | Claimant(s): Bruce Wasserman, Bruce D. Wasserman OMD., Bruce D. Wasserman IRA
Claimant Lawyers(s): Laurie J. Butler
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Tom Barnett
Arbitrator(s): Robert C. Albini, Terry Lynn Chambless, Carole Helfert Aragon
Hearing Site: Los Angeles, CA
| | $0 |
| 11-02468 | 06/16/2014 | Claimant(s): Pauline Allen, Pauline W. Allen Revocable Trust U/A 1/1
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Financial West Group, Edward Wentzheimer, UBS Financial Services Inc., M. Krasny, Marc Adelman, Mark Lewis
Respondent Lawyers(s): Amy B. Bard, Brent A. Burns, Ryan Probstfeld
Arbitrator(s): Michael G. Clark, CathyLyn Rossi, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-00578 | 10/09/2013 | Claimant(s): PHK Trust
Claimant Lawyers(s): Kamyar R. Shayan
Respondent(s): David Crist, First Allied Securities., Sii Investments.
Respondent Lawyers(s): Jacquelyn Mohr, Jeffrey K. Compton
Arbitrator(s): Carolyn V. Quadt, Christopher J. Rogers, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-06268 | 10/04/2012 | Claimant(s): Richman Bry
Claimant Lawyers(s): Thomas Dressler
Respondent(s): Citigroup Global Markets., Kevin Caputo
Respondent Lawyers(s): Adam Kauff, Sylvia M. Scott
Arbitrator(s): Robert C. Albini
Hearing Site: Los Angeles, CA
| | Expungement |
