| 11-02468 | 06/16/2014 | Claimant(s): Pauline Allen, Pauline W. Allen Revocable Trust U/A 1/1
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Financial West Group, Edward Wentzheimer, UBS Financial Services Inc., M. Krasny, Marc Adelman, Mark Lewis
Respondent Lawyers(s): Amy B. Bard, Brent A. Burns, Ryan Probstfeld
Arbitrator(s): Michael G. Clark, CathyLyn Rossi, Robert C. Albini
Hearing Site: Los Angeles, CA
|  | Expungement |
| 13-03153 | 05/29/2014 | Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Fred Mandell
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): Herbert Murez, Salvatore A. Sciortino, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-00395 | 04/04/2014 | Claimant(s): Ellen Jackson, Thomas Jackson
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Newport Coast Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Michael D. Harrison, Milton N. Gross, Ted Paul Comfort
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-01931 | 03/21/2014 | Claimant(s): Justin Azarian, Loreta Azarian, Nicole Azarian, Paul Azarian, Loreta Azarian IRA, Loreta Azarian SEP IRA, Paul Azarian IRA, Paul Azarian SEP IRA, P&L Azarian Trust dtd 9/25/2008
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Art Okun, Gregory Goldstein, Marquis Financial Services.
Respondent Lawyers(s): Art Okun, Gregory E. Goldstein
Arbitrator(s): Robert Rosen, James Warren Hill, Brent Eric Zepke
Hearing Site: Los Angeles, CA
| | $309,750 |
| 10-03787 | 08/30/2013 | Claimant(s): Snow Jaynes, Snow Jaynes IRA, Snow E. Jaynes Living Trust 09/01/1999
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Daniel Shea
Respondent Lawyers(s): Daniel Shea
Arbitrator(s): Carlos Richard Mangum, Philip Aaron Tymon, Fern M. Laethem
Hearing Site: Los Angeles, CA
| | $442,070 |
| 09-02510 | 01/08/2013 | Claimant(s): Keith Miller, Keith D. Miller IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Anthony Salino, Joseph Degregorio, Lynn Schultz, Ron Ison, Roy Cohen, Mercer Capital Ltd.
Respondent Lawyers(s): Anthony John Salino, David Schrader, Lynn Gordon Schultz, Ron Jason Ison, Roy Cohen
Arbitrator(s): Herbert Murez, Kenneth E. Owen, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
| | $90,000 |
| 11-00986 | 12/21/2012 | Claimant(s): Mansour Matloob, Mansour Matloob Trust dtd 10/08/2002
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): John Marshall, RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Ralph B. Perry, Peter J Cohen, Gregory Douglas Stone
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-01582 | 08/06/2012 | Claimant(s): Shirley Edwards
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): R.W. Towt & Associates
Respondent Lawyers(s): Raymond Prazen
Arbitrator(s): Larry Haugaard, Thomas A. Culbertson, Robert Rosen
Hearing Site: Los Angeles, CA
| | $135,000 |
| 11-00453 | 06/04/2012 | Claimant(s): Marvin Antonowsky, Marvin Antonowsky IRA, Antonowsky 1984 Trust UAD 03/23/1989
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): E*Trade Securities LLC, Li-Wei Chang
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Barbara M. Zak, Arthur F. Brueggeman, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | Expungement |
| 08-04526 | 04/24/2012 | Claimant(s): Dona Hannigan, Dona Lynn Hannigan Revocable Living Trus
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Christopher Ranney, Jennifer Himes, Kyle Kelly, Leia Farmer, Roxanne Brecek, Brecek & Young Advisors.
Respondent Lawyers(s): Elizabeth Lowery, Thomas J. Callaway
Arbitrator(s): George L. Tindall, Benjamin F. Breslauer, Valerie Lewis
Hearing Site: Los Angeles, CA
| | Expungement |
