| 21-01837 | 12/14/2022 | Claimant(s): Mark Wagner
Claimant Lawyers(s): Mark Wagner
Respondent(s): Jack Hsia, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Robert E. Jenks, Marc David Wilde, Betty Jean Jackson
Hearing Site: Los Angeles, CA
|  | Expungement |
| 20-03990 | 06/06/2022 | Claimant(s): Pamela McCormick, Rick McCormick, The Lindsay McCormick 2013 Gift Trust
Claimant Lawyers(s): Jeffrey Erez, Stefan Apotheker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Robert B. Hansohn, Anita Teresa Hayden, Betty Jean Jackson
Hearing Site: Los Angeles, CA
| | $1,181,720 |
| 16-00746 | 06/05/2020 | Claimant(s): Robert Schmiedeke, Robert E Schmiedeke Separate Property Tr
Claimant Lawyers(s): Kenneth J Catanzarite
Respondent(s): Jim Lund, Investors Capital Corp., National Planning Corporation
Respondent Lawyers(s): Derek C, Anderson, Elizabeth Lowery
Arbitrator(s): Benjamin F. Breslauer, Virginia Alice Suveiu, Betty Jean Jackson
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
