| 23-03384 | 09/03/2024 | Claimant(s): Kenneth Grover
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Wells Fargo Securities
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Paul E. Dahlman, Eric Gad Forster, Richard Mathew Greenspan
Hearing Site: Salt Lake City, UT
|  | $0 |
| 22-00379 | 06/30/2023 | Claimant(s): Vukich Family Trust U/A Dated 07/17/2003
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Hulley, Richard Sanders
Respondent Lawyers(s): Kelly L. Doyle
Arbitrator(s): Barbara M. Zak, Eric Gad Forster, Jack R. Goetz
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 |
| 19-03423 | 04/12/2021 | Claimant(s): Cain Manoli, Mihaela Manoli
Claimant Lawyers(s): D. Daxton White
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Eric Gad Forster, Stephen Mack, Elijah Paul Rukidi-Mpuuga
Hearing Site: Los Angeles, CA
| | Expungement |
| 18-03463 | 11/01/2019 | Claimant(s): Mark Tsuchiyose, Bay Area Digestive Health Medical Grp T, Mark & Kazumi Tsuchiyose Trust
Claimant Lawyers(s): Marc I Zussman
Respondent(s): John Lau, Girard Securities., LFS Asset Management
Respondent Lawyers(s): Craig Zafis, Elizabeth Lowery
Arbitrator(s): Kenneth M. Weinman, Eric Gad Forster, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
| | $0 |
| 15-02449 | 12/28/2016 | Claimant(s): Thomas Murphy
Claimant Lawyers(s): Donald Potter
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles B. LaChaussee
Arbitrator(s): Edward Banian, Constance Ellen Boukidis, Eric Gad Forster
Hearing Site: Los Angeles, CA
| | |
| 15-00963 | 11/22/2016 | Claimant(s): Carl Alexen, Kristy Crouch, Louis Morales, Luis Mendez, Marianne Kuzneski, Martha Phillips, Mary Steele, Michel Sanner, Mildred Jazmin, Mitsi Yoss, Phyllis Kuo, Sonia Johnson, Suzette Cohen, Timothy Wassil, Verna Papotta, Wesley Kuo, William Kuzneski, Christel Vincth IRA, Martha Phillips IRA, Ronald Turner IRA, et al
Claimant Lawyers(s): Adam J. Gana, Adam J. Weinstein, Daniel Gwertzman
Respondent(s): Wilson-Davis & Company.
Respondent Lawyers(s): Mark O. Van Wagoner
Arbitrator(s): Kenneth E. Owen, Eric Gad Forster, Daniel James Yee
Hearing Site: Los Angeles, CA
| | $99,441 |
| 13-02887 | 10/27/2015 | Claimant(s): Joe Solorsa
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Vincent J. Natoli, Salvatore A. Sciortino, Eric Gad Forster
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-03734 | 05/14/2015 | Claimant(s): Stanley Behrens Living Trust dtd July 8
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Morgan Stanley, Rafael De Vengoechea, Sandra Rutan
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Barbara M. Zak, Elliott Zachary Seff, Eric Gad Forster
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-03546 | 12/26/2014 | Claimant(s): Joe Solarsa
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Vincent J. Natoli, Salvatore A. Sciortino, Eric Gad Forster
Hearing Site: Los Angeles, CA
| | Expungement |
