20-02143 | 11/11/2021 | Claimant(s): Branna Rose Claimant Lawyers(s): Marc I. Zussman Respondent(s): Gregory Heller, Steven Weinberger, HCR Wealth Advisors, Heller Capital Resources Respondent Lawyers(s): Esther E. Cho Arbitrator(s): Joseph Alfred Davis, Constance Ellen Boukidis, Marc David Wilde Hearing Site: Los Angeles, CA
| | Expungement |
18-03524 | 07/30/2021 | Claimant(s): Sergio Praslin Claimant Lawyers(s): Marc I. Zussman Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Investments Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Erik R. Siering, Eric Gad Forster, Steven H. Gentry Hearing Site: Los Angeles, CA
| | Expungement |
18-01140 | 04/04/2019 | Claimant(s): Harry William Tepper Trust Claimant Lawyers(s): Marc I. Zussman Respondent(s): Vanguard Marketing Corporation Respondent Lawyers(s): Paula D. Shaffner Arbitrator(s): Larry Edmonson Hearing Site: Los Angeles, CA
| | $85,061 |
14-03166 | 04/11/2017 | Claimant(s): Jaleh Miller Claimant Lawyers(s): Marc I. Zussman Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Judy Louie Arbitrator(s): Steven A. Wawra, Nancy G. Harris, Thomas R. Watkins Hearing Site: Los Angeles, CA
| | Expungement |
14-00029 | 12/03/2015 | Claimant(s): Irving Nast Claimant Lawyers(s): Marc I. Zussman Respondent(s): Brian Hagerman, John Matthews, Equities Trading Corporation, Global Arena Capital Corp, Joseph Gunnar & Co. Respondent Lawyers(s): John E. Lawlor, Ronald S. Herzog Arbitrator(s): Edward J. Costello, Alan M. Rosen, Yvonne Brathwaite Burke Hearing Site: Los Angeles, CA
| | $0 |
11-04733 | 06/16/2014 | Claimant(s): Kwan Yoo Claimant Lawyers(s): Kwan Kun Yoo Respondent(s): Mooho Lee, Young Seo, Ace Diversified Capital., Ace Securities. Respondent Lawyers(s): Marc I. Zussman Arbitrator(s): David J. Anderson, Erik R. Siering, Michael John Florio Hearing Site: Los Angeles, CA
| | $0 |
11-00556 | 01/09/2013 | Claimant(s): Hooman Moshar, May Moshar Claimant Lawyers(s): Marc I. Zussman Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Elizabeth H. Lindh Arbitrator(s): Donald S. Simons, Joel D. Davidman, Brent J. Rosenbaum Hearing Site: Los Angeles, CA
| | $1,333,930 |
10-05367 | 05/04/2012 | Claimant(s): William Condon Claimant Lawyers(s): Marc I. Zussman Respondent(s): Reuven Enterprises Sec. Division Respondent Lawyers(s): Michael Huberman Arbitrator(s): Robert W. Vernon, Anita Rae Shapiro, James M. Goldberg Hearing Site: Los Angeles, CA
| | Expungement |
11-03699 | 04/04/2012 | Claimant(s): Vinita Wadhwani, Vishin Wadhwani Claimant Lawyers(s): Marc I. Zussman Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Wendy Robinson Arbitrator(s): Kirtley M. Thiesmeyer, Owen Frances, Michael R. Diliberto Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
10-01149 | 06/10/2011 | Claimant(s): Ellen Brown Claimant Lawyers(s): Marc I. Zussman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Neuberger Berman LLC Respondent Lawyers(s): Mitchell Albert, Tara A. LaClair Arbitrator(s): Herbert Leslie Greenberg, Vincent J. Natoli, Daniel R. Brush Hearing Site: Los Angeles, CA
| | $0 |