| 22-01587 | 06/11/2024 | Claimant(s): Nicholas Takahashi
Claimant Lawyers(s): Patrick R Mahoney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Michael G. Clark, Robert B. Hansohn, Jack R. Goetz
Hearing Site: Los Angeles, CA
| | |
| 23-00312 | 12/04/2023 | Claimant(s): Andrea Freedlund
Claimant Lawyers(s): Andrea J. Freedlund
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): Jack R. Goetz, Steven H. Gentry, Gecole L. Harley
Hearing Site: Los Angeles, CA
|  | $175 |
| 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 |
| 21-01175 | 06/02/2022 | Claimant(s): Sean Caston
Claimant Lawyers(s): Sean D Caston
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): June McLaughlin, Elizabeth Anne Moreno, Jack R. Goetz
Hearing Site: Los Angeles, CA
| | |
| 19-01319 | 02/05/2020 | Claimant(s): Steven Moreno
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): John E. Ohashi, Jack R. Goetz, Adam Michael Porter
Hearing Site: Los Angeles, CA
| | |
| 18-00400 | 08/12/2019 | Claimant(s): Benjamin Kwon, Castle Eurasia Corp, El Centro Acres
Claimant Lawyers(s): Benjamin Kwon
Respondent(s): Milan Konkol, MUFG Union Bank, N.A., Unionbanc Investment Services
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Thomas E. Shuck, Jack R. Goetz, Lisa Miller
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212(c) |
| 18-01826 | 05/08/2019 | Claimant(s): Pablo Vaquera
Claimant Lawyers(s): Pablo Raul Vaquera
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Daniel A. Seiver, Jack R. Goetz, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | |
| 16-00802 | 06/01/2018 | Claimant(s): Joel Kettler
Claimant Lawyers(s): Robert J. Girard
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Alexander
Arbitrator(s): Elliott D. Finkel, Jeanne E. Irving, Jack R. Goetz
Hearing Site: Los Angeles, CA
| | |
| 16-00906 | 09/12/2017 | Claimant(s): Overview Productions.
Claimant Lawyers(s): Amanda L. Voivedich
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Robert D. Sussin, Jasmina T. Boulanger, Jack R. Goetz
Hearing Site: Los Angeles, CA
| | $135,100 |
| 16-00546 | 06/01/2017 | Claimant(s): Farid Morim
Claimant Lawyers(s): Farid Morim
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeff Wortman
Arbitrator(s): Steven Gourley, Jack R. Goetz, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
| | |
