| 21-01512 | 07/01/2022 | Claimant(s): Mitchell Dehler, Sadhna Dehler, Mitchell Dehler SEP IRA, Sadhna Dehler Roth IRA
Claimant Lawyers(s): Adam J. Gana
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Susan B. Gans-Smith, Gerald Anthony Pokorski, Aaron Nathan Shechet
Hearing Site: Los Angeles, CA
|  | Expungement |
| 20-04029 | 09/01/2021 | Claimant(s): Martin Danial
Claimant Lawyers(s): Martin M Danial
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Kenneth E. Owen, Susan B. Gans-Smith, Owen Frances
Hearing Site: Los Angeles, CA
| | $0 |
| 19-02998 | 10/14/2020 | Claimant(s): Teresa Valdez, Teresa Valdez IRA
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Alan Stamm, Susan B. Gans-Smith, Daniel A. Seiver
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
| 19-01405 | 05/28/2020 | Claimant(s): The Seitz 2000 Descendants Trust
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Robert Fenton, Centaurus Financial.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Susan B. Gans-Smith, Noel Harvey Applebaum, Loyd A Wright
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
| 19-00677 | 12/20/2019 | Claimant(s): Deborah Alliano
Claimant Lawyers(s): Deborah A. Alliano
Respondent(s): Kelley Slaught
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | $0 |
| 16-01370 | 09/05/2017 | Claimant(s): France Pollack, France Pollack Rollover IRA, The F/T Barry Pollack Trust Profit Shari
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John S. Worden
Arbitrator(s): Richard J. Stall, Susan B. Gans-Smith, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $0 |
| 15-01700 | 06/01/2016 | Claimant(s): Denis P. Doyle IRA, Denis P. Doyle Revocable Trust FBO Denis, Gloria R. Doyle Revocable Trust FBO Glor
Claimant Lawyers(s): Aaron M. May, Grant B. Gelberg
Respondent(s): Morgan Stanley, Peter Doyle, Wendy Feldman
Respondent Lawyers(s): Ronald E. Wood
Arbitrator(s): Gary Timothy Haight, Susan B. Gans-Smith, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $8,606,600 |
| 15-01161 | 03/22/2016 | Claimant(s): Elizabeth Canino, Eugene Canino, Eugene Canino Trust
Claimant Lawyers(s): Leonard Steiner
Respondent(s): Harold McNaughton, Sagepoint Financial.
Respondent Lawyers(s): Amir Tadjedin, Elizabeth Poletti
Arbitrator(s): Susan B. Gans-Smith, Elizabeth Anne Moreno, W. Scott Bowersock
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 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 |
| 13-03428 | 02/27/2015 | Claimant(s): DeVonna Murrin
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | $0 |
