| 23-00395 | 04/08/2024 | Claimant(s): Ve Ngo
Claimant Lawyers(s): Emahn Counts
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Steven Gourley
Hearing Site: Los Angeles, CA
|  | $134,751 |
| 22-00088 | 01/03/2023 | Claimant(s): Bernard Reina
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Steven Gourley, Robert E. Jenks, Zygmont Jacob Boxer
Hearing Site: Los Angeles, CA
| | |
| 22-00411 | 08/23/2022 | Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William H. Badinelli
Arbitrator(s): Steven Gourley, Andrea Luise Halperin, Howard Clark Posner
Hearing Site: Los Angeles, CA
| | |
| 20-02475 | 07/08/2021 | Claimant(s): Angelo Pastorino
Claimant Lawyers(s): James G. Morris
Respondent(s): Christopher Miller, Raymond Sun, Trevor Gordon, Sandlapper Securities, Sandlapper Student Housing LLC, Specialized Wealth Management
Respondent Lawyers(s): Cameron S. Matheson, Sylvia M. Scott, Trevor L. Gordon
Arbitrator(s): Steven Gourley, Michael Harrison, Peggy Jane Fisher
Hearing Site: Los Angeles, CA
| | $0 |
| 20-01862 | 01/27/2021 | Claimant(s): Richard Ramos
Claimant Lawyers(s): Richard Ramos
Respondent(s): Ted Smail
Respondent Lawyers(s): Ted H Smail
Arbitrator(s): Steven Gourley, Jeffrey E. Skogsbergh, McKinley Perkins
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-02710 | 01/19/2018 | Claimant(s): Marcus Nagel, Matthew Nagel
Claimant Lawyers(s): Marcus Nagel
Respondent(s): David Warren, Citigroup Global Markets., UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Adam M. Kauff, Andrew W. Sidman, Denver G. Edwards
Arbitrator(s): Steven Gourley, Howard A. Emirhanian, George Herman Frisch
Hearing Site: Los Angeles, CA
| | Dismissed by Rule (12200/12201) |
| 15-02910 | 06/09/2017 | Claimant(s): Estate of Mary Anne Trottier
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Morgan Stanley, Steven Crawford
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Steven Gourley, Mark S. Priver, Michael Harrison
Hearing Site: Los Angeles, CA
| | $396,623 |
| 16-00546 | 06/01/2017 | Claimant(s): Farid Morim
Claimant Lawyers(s): Farid Morim
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeff Wortman
Arbitrator(s): Steven Gourley, Jack R. Goetz, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
| | |
| 15-00362 | 05/19/2016 | Claimant(s): Martha Welborne
Claimant Lawyers(s): Brian D. Boydston
Respondent(s): Charles Bohlen, Stern Fisher Edwards Inc.
Respondent Lawyers(s): Edward Gartenberg
Arbitrator(s): Steven Gourley, Ronald L. Cameron, Laurent C. Vonderweidt
Hearing Site: Los Angeles, CA
| | $297,000 |
| 13-03119 | 11/19/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Lynne C. Hermle, Trish M. Higgins
Respondent(s): Carrie Riley
Respondent Lawyers(s): Stephen S. Smith
Arbitrator(s): Steven Gourley
Hearing Site: Los Angeles, CA
| | |
