| 09-05576 | 11/02/2010 | Claimant(s): Shuck Limited Partnership, Shuck Family Trust dtd 5/24/05
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): James Losey, Royal Alliance Associates., Wealthcare Alliance.
Respondent Lawyers(s): G. Thomas Fleming, III
Arbitrator(s): Audrey H. Ruben, Joyce L. Hurley, Richard William DeWeese
Hearing Site: Los Angeles, CA
|  | Expungement |
| 09-01937 | 08/16/2010 | Claimant(s): Rina Schwarz, Rina Schwarz Revocable 1996 Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Dusan Zachystal, Individual Asset Management, Interactive Brokers LLC
Respondent Lawyers(s): Derek C. Anderson, Jeffrey D. Fox
Arbitrator(s): Arthur T. Berggren, Mark A. Karpe, Arthur Alef
Hearing Site: Los Angeles, CA
| | $0 |
| 08-00226 | 08/03/2010 | Claimant(s): Betty Risner, Marion Risner, Betty Margaret D Risner-Rollover IRA, Risner Family Trust U/A DTD 01/21/82
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): James Harris, Morgan Keegan & Company.
Respondent Lawyers(s): William G. Whitman
Arbitrator(s): James S. Carlson, Daniel David Kopman, Rosalind Anne Salzman
Hearing Site: Los Angeles, CA
| | Expungement |
| 08-03424 | 01/22/2010 | Claimant(s): Ronald Pelley
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): John B. Wells, Elizabeth A. Copley, Glen W. Hanne
Hearing Site: Los Angeles, CA
| | $0 |
| 08-00949 | 10/28/2009 | Claimant(s): Angela Chan
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Douglas Frederick, Stephanie Chooi
Respondent Lawyers(s): Douglas Glen Frederick, Stephanie Pey Chooi
Arbitrator(s): Joyce L. Hurley, James Belk, James H. De Meules
Hearing Site: Los Angeles, CA
| | $18,678 |
| 08-02897 | 07/17/2009 | Claimant(s): Irma Agee, Irma T. Agee IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Beverly Hylton, Wedbush Morgan Securities
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Franklin G. Allen, Doris V. Knotter, Barry E. Kersh
Hearing Site: San Diego, CA
| | $110,000 |
| 99-04694 | 06/04/2009 | Claimant(s): Suryakant & Sushila Patel
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Barbara Ralston, Charles Lazzaro, Drew Chalmers, First Wall Street Corp.
Respondent Lawyers(s): Christopher P. Mader, Cynthia M. Schleindl
Arbitrator(s): Steven Gourley, Luis R. Ruiz, Sheldon Stanford Ellis, Joseph Winter
Hearing Site: Phoenix, AZ
| | Expungement |
| 06-04407 | 06/03/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): David H. Smith
Respondent(s): David Bryant
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): Donald T. Meder, Dorothy B. Strackbein, Robert Elman
Hearing Site: Los Angeles, CA
| | |
| 08-00294 | 02/23/2009 | Claimant(s): Richard Rovnick, Robert Kotler, Robert Lubar, Ronald Sheldon, Sidney Oko, Drs. Adilman,Katin,Lubar Ltd. Profit Shr, M.D.. Profit Sharing, Ronald Sheldon Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Andrew Shapiro, Donald Hunter, Edward Taylor, Gregory Martino, Michael Baker, Westrock Advisors.
Respondent Lawyers(s): Robert a. Giacovas
Arbitrator(s): Vincent J. Natoli, Michael M. Hachigian, Troy C. Sumrall
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 07-01110 | 05/27/2008 | Claimant(s): Joseph Martelli
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Nicholas Natale, Granite Associates.
Respondent Lawyers(s): Nicholas A. Natale
Arbitrator(s): Dawn M. Kirchner, Edward A. Trabin, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | $0 |
