| 22-02572 | 03/25/2024 | Claimant(s): Emma Ward
Claimant Lawyers(s): Scott L. Silver
Respondent(s): PHX Financial.
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Jeffrey L. Malek, Mark T Risner, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
|  | Expungement |
| 23-02040 | 02/28/2024 | Claimant(s): Mary Moser
Claimant Lawyers(s): Mary E. Suzy Moser
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | $0 |
| 23-01085 | 01/02/2024 | Claimant(s): Luis Espinoza
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Ameriprise Financial Services., FFEC Wealth Partners LLC
Respondent Lawyers(s): Howard Klausmeier, Patrick W. Kelly
Arbitrator(s): Michael W. Burnett, Andrew M. Mintzer, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | |
| 22-01360 | 10/30/2023 | Claimant(s): Ronald Inlow
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Eric Ludovico, Mark Stewart, Michael Barrows
Respondent Lawyers(s): Justin Chretien, Nicholas J. Yocca
Arbitrator(s): Stephen Howard Marcus, Jason Moriarty, Lawrence Wayne Sarokin
Hearing Site: Los Angeles, CA
| | $1,046,420 |
| 22-02968 | 07/24/2023 | Claimant(s): Jefferey B. Lurner, IRA
Claimant Lawyers(s): Jefferey B. Lurner
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | $0 |
| 21-01275 | 03/02/2022 | Claimant(s): Theodore Fischer
Claimant Lawyers(s): Brian Luther
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Stephen Howard Marcus, Tim James O'Keefe, Michael Shimokaji
Hearing Site: Los Angeles, CA
| | |
| 20-01135 | 08/04/2021 | Claimant(s): Daniel Sebastian, Robin Sebastian
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Adam Michael Porter, Pamela Jane Koslow, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | $0 |
| 20-03638 | 05/19/2021 | Claimant(s): Kristopher Scher, Renee Scher, Kristopher Scher Trust, Renee Scher 2003 Irrevocable Trust, Stanley M. Scher Liv Trst dtd 8/10/82
Claimant Lawyers(s): Rod Bidgoli, Steve Buchwalter
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Timothy A. Menezes
Arbitrator(s): Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | $362,395 |
| 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
| | |
| 17-02452 | 05/07/2019 | Claimant(s): Denise Goldner, as Co-TTEE of Goldner TR, Jay Goldner, as Co-TTEE of Goldner Trust
Claimant Lawyers(s): Mark S. Novak
Respondent(s): Brian Danelian, Jamal Thompson, TD Ameritrade.
Respondent Lawyers(s): Richard A. D'Amura, Simeon M. Schopf
Arbitrator(s): Kendall C. Reed, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | $0 |
