| 22-01882 | 02/27/2024 | Claimant(s): Esther Kim, Ambrosia Networks LLC
Claimant Lawyers(s): Adam Gana
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Barbara M. Zak, Robert B. Hansohn, Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
|  | Expungement |
| 21-00320 | 05/05/2023 | Claimant(s): Fred Shahan, Wendy Cordell, on behalf of his IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Darol Paulsen, John Nguyen, Jonathan French, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Barbara M. Zak, Herbert Liberman, Deanna J. Johnson
Hearing Site: San Diego, CA
| | $780,220 |
| 22-00297 | 12/14/2022 | Claimant(s): Justin Lowy
Claimant Lawyers(s): Craig R. Bockman
Respondent(s): Dean Nakata, Estate of Miyoko Nakata, Nakata Family Living Trust dtd 4/29/04
Respondent Lawyers(s): Kalju Nekvasil
Arbitrator(s): Robert D. Sussin, Joyce L. Hurley, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-02378 | 07/22/2021 | Claimant(s): Bret Laporte
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Jim Geiger
Hearing Site: Hartford, CT
| | |
| 18-04007 | 11/07/2019 | Claimant(s): Waltraud Greathouse
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Kenneth Barroga, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $160,097 |
| 16-02038 | 01/23/2018 | Claimant(s): David Harter
Claimant Lawyers(s): David Neuman
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Kenneth E. Owen, Noel Harvey Applebaum, Joseph Francis Young
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-02612 | 09/15/2016 | Claimant(s): John Gabay III, Karen Gabay, Gabay Private Trust dated 11/28/06
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Larry Michaels, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman, Kayla S.S. Betbout
Arbitrator(s): Robert B. Hansohn, Richard Lee Fausett, John M Harvey
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-02916 | 06/08/2016 | Claimant(s): Clayton Strack
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): William Tufts, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): James F. Zotter, William H. King, John A. Cook
Hearing Site: Portland, OR
| | Expungement |
| 14-02921 | 05/27/2016 | Claimant(s): William Eddy, Barbara Eddy Trust, William J. Eddy Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): John Weiss, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): M. W. Gear, William B. Ross, Verne R. Gray
Hearing Site: Des Moines, IA
| | Expungement |
| 14-00614 | 12/22/2015 | Claimant(s): Lewis Booth
Claimant Lawyers(s): Adam Brett Wolf
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Elliott Zachary Seff, Eugene A. Taylor, Morris S. Getzels
Hearing Site: Los Angeles, CA
| | Expungement |
