| 16-02805 | 01/08/2019 | Claimant(s): Oscar Celasco, Centrica Invt Capital Inc., G.S.S. Capital Group Limited, GSSC Holdings LTD, GSSC SP, Mesoamerica Acre Farms., Westwood Holding Inc.
Claimant Lawyers(s): Matthew L. Jones
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Gary Timothy Haight, Laurent C. Vonderweidt, A. Joel Klein
Hearing Site: Los Angeles, CA
|  | $0 |
| 16-03171 | 03/29/2018 | Claimant(s): Carol S. Warman, IRA, Paul Warman, Warman Revocable Trust dated 10-09-98
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Morgan Stanley, George Manska, Lynda Schultz
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Larry Edmonson, A. Joel Klein, Daniel Clay McGuire
Hearing Site: Las Vegas, NV
| | Expungement |
| 16-03314 | 10/16/2017 | Claimant(s): Jacqueline Harrigan, Jacqueline Bose Harrigan Trust
Claimant Lawyers(s): Jacqueline Bose Harrigan
Respondent(s): Ricardo Cabrera, G.F. Investment Services
Respondent Lawyers(s): Alan L. Sachs, Geoffrey A. Frazier
Arbitrator(s): A. Joel Klein, Royetta M. Jones, Augusta Massey
Hearing Site: Las Vegas, NV
| | Expungement |
| 16-00847 | 07/13/2017 | Claimant(s): Agatha Dancy, John Dancy
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Wedbush Securities Inc., Mark Augusta
Respondent Lawyers(s): Charles LaChaussee, David S. Harrison
Arbitrator(s): A. Joel Klein, Owen J. Thomsen, Carolyn Renee Payne
Hearing Site: Los Angeles, CA
| | $1,519,360 |
| 13-03659 | 03/08/2016 | Claimant(s): Barbara Klotz, Richard Klotz
Claimant Lawyers(s): Anthony Reguero, M. Ryan DiMaria
Respondent(s): Gary Roney, Jack Hartfelder, Morgan Stanley
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): David J. Anderson, A. Joel Klein, Terry D. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-01400 | 12/28/2012 | Claimant(s): Steven Jay
Claimant Lawyers(s): Steven A. Jay
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): A. Joel Klein
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-03222 | 10/13/2011 | Claimant(s): Anthony Hanna, Debra Hanna, 2001 Anthony J. and Debra F. Revocable T
Claimant Lawyers(s): Irwin Stein
Respondent(s): Dale Hall, David Smith, Kathleen Heshelow, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities.
Respondent Lawyers(s): David L. Smith, H Thomas Fehn, Orly Davidi
Arbitrator(s): Alan Stamm, A. Joel Klein, Russell T. Doe
Hearing Site: Los Angeles, CA
| | $0 |
| 09-04660 | 05/24/2011 | Claimant(s): John and Roneale(Sue) Ports
Claimant Lawyers(s): John Ports
Respondent(s): Richard Clarke
Respondent Lawyers(s): Richard Lionel Clarke
Arbitrator(s): A. Joel Klein, Harris J. Howard, Barton J. Brewer
Hearing Site: Los Angeles, CA
| | $0 |
| 08-03633 | 05/05/2009 | Claimant(s): Dio Javier
Claimant Lawyers(s): Dio B Javier
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): A. Joel Klein
Hearing Site: Los Angeles, CA
| | $3,615 |
