| 22-01845 | 11/16/2023 | Claimant(s): Xudong Cheng
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Hannah B. Shanks-Parkin
Arbitrator(s): Kenneth E. Owen, Mark Alan Sevigny, Caryl Elyse Winter
Hearing Site: Los Angeles, CA
|  | $0 |
| 19-02981 | 07/13/2020 | Claimant(s): Brenda Rossman
Claimant Lawyers(s): Adam Gana
Respondent(s): Investment Architects.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Mark Alan Sevigny, Gregory Douglas Stone, Carolyn Renee Payne
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
| 18-00735 | 11/07/2018 | Claimant(s): Phillip Shrotman
Claimant Lawyers(s): Phillip Quint Shrotman
Respondent(s): Pension Planners Securities.
Respondent Lawyers(s): Gina Duryea
Arbitrator(s): Thomas E. Shuck, Rosalind Anne Salzman, Mark Alan Sevigny
Hearing Site: Los Angeles, CA
| | |
| 13-02924 | 05/26/2015 | Claimant(s): Margaret Smith, Margaret Farwell Smith 2007 Trust UAD 10, Margaret Farwell Smith CRUT Trust Dtd 5/
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Fera Shivaee, Centaurus Financial.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Morris S. Getzels, Owen Frances, Mark Alan Sevigny
Hearing Site: Los Angeles, CA
| | $915,249 |
| 12-02249 | 03/13/2014 | Claimant(s): Diana Sigalos, NFS/FMTC Rollover IRA FBO Anthony Sigalo, Anthony Sigalos Separate Property Trust, Sigalos Family Trust U/A 8/1/05
Claimant Lawyers(s): Anthony Sigalos, Diana Sigalos
Respondent(s): Aletheia Securities.
Respondent Lawyers(s): Roger B. Peikin
Arbitrator(s): Anita Rae Shapiro, Mark Alan Sevigny, John Suciu
Hearing Site: Los Angeles, CA
| | $876,780 |
