| 14-02915 | 07/15/2016 | Claimant(s): Joan Galloway, Robert Galloway, The Galloway Family Trust
Claimant Lawyers(s): Joshua H. Sisam
Respondent(s): Financial Advisers Of America
Respondent Lawyers(s): Kenneth Johnston
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
|  | $1,541,720 |
| 13-02835 | 05/27/2016 | Claimant(s): Joseph Sanberg
Claimant Lawyers(s): Todd H. Stitt
Respondent(s): Fidelity Brokerage Services LLC, Sean Oittinen, Stephen Fox
Respondent Lawyers(s): Ellen Sessions
Arbitrator(s): Robert D. Sussin, Joyce L. Hurley, Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-02766 | 04/04/2016 | Claimant(s): Melissa Conway
Claimant Lawyers(s): Robert L. Schibel
Respondent(s): Wells Fargo Advisors, Daniel Klein
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert D. Sussin, Norman Michael Garland, Robert Edward Koondel
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-01362 | 02/02/2016 | Claimant(s): Albert Anhkhoa
Claimant Lawyers(s): Albert Anhkhoa
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Bruce L. Gisi
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $300 |
| 13-02663 | 12/12/2014 | Claimant(s): Benjamin H Kwon, Castle Eurasia Corp
Claimant Lawyers(s): Benjamin H Kwon
Respondent(s): Bryan Snitselaar, E*Trade Securities LLC, Russell Scherrer, E*Trade Clearing LLC
Respondent Lawyers(s): John Bersin, Meredith F. Hoffman, Ryan Lean, Steve Young
Arbitrator(s): Robert D. Sussin, Neil S. Jasper, Vincent J. Natoli
Hearing Site: Los Angeles, CA
| | $0 |
| 13-02802 | 09/10/2014 | Claimant(s): Pat Seidler
Claimant Lawyers(s): Henry C. Casden
Respondent(s): Larry Michaels, J.P. Turner & Company, L.L.C., Crown Capital Securities, L.P.
Respondent Lawyers(s): Ali Sabetghadam, Craig R. Bockman
Arbitrator(s): Robert D. Sussin, Benjamin F. Breslauer, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Expungement |
| 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 |
| 08-04100 | 03/14/2012 | Claimant(s): Scott Holt, Tracy Austin
Claimant Lawyers(s): Steven M. Goldberg
Respondent(s): Gary Fournier, Citigroup Global Markets.
Respondent Lawyers(s): Michele R. Fron, William A. Hohauser
Arbitrator(s): Robert D. Sussin, Jon A. Bostrom, Arthur T. Berggren
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-02544 | 02/10/2012 | Claimant(s): John Agamalian, John Karl Agamalian Family Trust, The Adams Family Trust, The Elizabeth Agamalian Family Trust
Claimant Lawyers(s): Lon B. Isaacson
Respondent(s): Wedbush Securities Inc., Michael Farah
Respondent Lawyers(s): Charles LaChaussee, David Harrison
Arbitrator(s): Robert D. Sussin, Robert P. Clifford, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $0 |
| 10-01320 | 09/06/2011 | Claimant(s): Carl Neuss, Carla Neuss, Elaine Neuss, Hitching Rail Investors, One Westheimer Investors, LTD, DBPP, Pacific Venture Associates Inc. DBPP, Pacific Ventures Associates., Alex Neuss UTMA, Carla Neuss UTMA, Rebecca Neuss UTMA, Carl F. Neuss Beneficiary IRA, Carl F. Neuss IRA, Elaine P. Neuss IRA, Pacific Ventures Asso. 401K, Neuss Family Trust, Prairiestone Investment Trust
Claimant Lawyers(s): Martin B. Greenbaum, Michael Hume
Respondent(s): Wells Fargo Investments, John Milia, Michael Gates
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert D. Sussin, Robert C. Albini, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | Expungement |
