12-00169 | 11/19/2014 | Claimant(s): Benjamin Hoch, Holly Hoch, Hoch Family Trust as Amended & Restated Claimant Lawyers(s): Brian E. Shear, Theodore J. Cohen Respondent(s): J.P. Morgan Securities, Robert Klein Respondent Lawyers(s): Paul Schumacher Arbitrator(s): Elliott Zachary Seff, Susan B. Gans-Smith, Cheryl Marie Allain-Mee Hearing Site: Los Angeles, CA
| | $485,000 |
12-02789 | 06/26/2014 | Claimant(s): The Hextall Family Living Trust 1-17-07 Claimant Lawyers(s): Richard Sacks Respondent(s): J.P. Morgan Securities, Robert Klein Respondent Lawyers(s): Paul J. Schumacher Arbitrator(s): Steven A. Wawra, Norman Michael Garland, Andrew Corell Wahrenbrock Hearing Site: Los Angeles, CA
| | Expungement |
11-02505 | 05/24/2012 | Claimant(s): Barbara Roberts, Joe Roberts, Joe D. Roberts IRA Claimant Lawyers(s): Montgomery G. Griffin Respondent(s): Wells Fargo Advisors, Fidelity Brokerage Services LLC Respondent Lawyers(s): Colleen A. Hankins, Judy Louie Arbitrator(s): Joseph C. Watson, Robert Allan Klein, Cynthia Ruth Saffir Hearing Site: Los Angeles, CA
| | Expungement |
09-00868 | 02/04/2010 | Claimant(s): Robert Klein Claimant Lawyers(s): John F. Hanzel Respondent(s): TIAA-CREF Respondent Lawyers(s): Felicia Washington Arbitrator(s): Thomas W. Steed Hearing Site: Charlotte, NC
| | |