| 13-02435 | 08/05/2015 | Claimant(s): Jon Deusenberry
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Morris S. Getzels, Mary M. O'Neil, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
|  | Expungement |
| 13-01022 | 06/02/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Carole Miller
Respondent(s): Derek Greeff
Respondent Lawyers(s): Steven R. Young
Arbitrator(s): Morris S. Getzels, Robert Dean McKinley, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 13-02924 | 05/26/2015 | Claimant(s): Margaret Smith, Margaret Farwell Smith 2007 Trust UAD 10, Margaret Farwell Smith CRUT Trust Dtd 5/
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Fera Shivaee, Centaurus Financial.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Morris S. Getzels, Owen Frances, Mark Alan Sevigny
Hearing Site: Los Angeles, CA
| | $915,249 |
| 12-02327 | 04/05/2013 | Claimant(s): Mark Bremen
Claimant Lawyers(s): Mark D. Bremen
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin Fair
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | $1,128 |
| 12-01504 | 08/01/2012 | Claimant(s): Marc Rosenbach
Claimant Lawyers(s): Robert Girard
Respondent(s): Lawrence Watanabe, Richard Kanner, William Nason
Respondent Lawyers(s): Lawrence Watanabe, Richard Kanner, William Nason
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-01116 | 11/14/2011 | Claimant(s): Michael Di Pietro
Claimant Lawyers(s): Marie C. Mirch
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeffrey Compton
Arbitrator(s): Kenneth E. Owen, Larry Haugaard, Morris S. Getzels
Hearing Site: Los Angeles, CA
| | |
| 10-02930 | 12/31/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Deward Lawrence
Respondent Lawyers(s): Deward T. Lawrence
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | |
| 08-03629 | 08/23/2010 | Claimant(s): Bleifer Family Trust dtd 3/25/1999, Pompan Family Trust u/a/d 4/4/98, The Nickie Lee Silk 2004 Trust, The Nickie Lee Silk Declaration Trust
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth L. Lindh
Arbitrator(s): Larry Edmonson, Morris S. Getzels, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | $2,024,000 |
| 09-01147 | 04/30/2010 | Claimant(s): Lori Caden, Warren Friedman
Claimant Lawyers(s): Avi Wagner
Respondent(s): Gregory Heller, Heller Capital Resources Financial and, Investment Security Corporation
Respondent Lawyers(s): Herman Palarz, Lee D. Lubin
Arbitrator(s): Morris S. Getzels, Edward A. Trabin, Paul H. White
Hearing Site: Los Angeles, CA
| | $0 |
| 09-00976 | 04/16/2010 | Claimant(s): The Sohaili Trust
Claimant Lawyers(s): Masood Sohaili
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mai P. Klaassen
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | $1,050 |
