| 15-03120 | 11/27/2019 | Claimant(s): Fariba Madison
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): David Terrell, Sean Pong, U.S. Bancorp Investments.
Respondent Lawyers(s): Christina N. Goodrich
Arbitrator(s): Steven A. Wawra, Robert Dean McKinley, Owen Frances
Hearing Site: Los Angeles, CA
| | |
| 14-03166 | 04/11/2017 | Claimant(s): Jaleh Miller
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Steven A. Wawra, Nancy G. Harris, Thomas R. Watkins
Hearing Site: Los Angeles, CA
|  | Expungement |
| 15-00622 | 12/02/2016 | Claimant(s): Michael Phillip
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): A. Joel Klein, Steven A. Wawra, Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
| | |
| 15-00829 | 06/16/2016 | Claimant(s): Judith De Anda, The Regina G. Doyle Separate Property Re
Claimant Lawyers(s): Judith De Anda
Respondent(s): UBS Financial Services Inc., Teresa Harmon
Respondent Lawyers(s): Erin Weesner-McKinley, Patrick R. Mahoney
Arbitrator(s): Alan M. Rosen, Steven A. Wawra, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | $0 |
| 14-00269 | 06/25/2015 | Claimant(s): Cathryn Baird, Robert Baird
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Dale Hall, John Gessford, Capwest Securities., Crucible Capital Group.
Respondent Lawyers(s): Charles J. Moore, Dale K. Hall, Dale Keith Hall, Kelly F. Ryan
Arbitrator(s): Richard J. Stall, Steven A. Wawra, Jeanne E. Irving
Hearing Site: Los Angeles, CA
| | $107,910 |
| 14-03524 | 05/11/2015 | Claimant(s): John Orcutt, UBS Financial Services Inc.
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Earl Flowers
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Elizabeth A. Copley, Steven A. Wawra, James M. Goldberg
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-02888 | 03/25/2015 | Claimant(s): Leslie Kraynak, Robert Kraynak, Leslie A. Kraynak IRA, Robert C. Kraynak IRA
Claimant Lawyers(s): T. John Kirk
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Mark S. Priver, Steven A. Wawra, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $0 |
| 14-00982 | 01/09/2015 | Claimant(s): Amanda Lenvin, Co-Executor of the Estate, David Lenvin, Estate of Michael William Lenvin
Claimant Lawyers(s): Jon C. Furgison
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Gail E. Cohen
Arbitrator(s): Edward J. Costello, Steven A. Wawra, Daniel Su
Hearing Site: Los Angeles, CA
| | $884,220 |
| 13-00616 | 11/04/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Arturo Brook
Respondent Lawyers(s): Jonathan Schwartz
Arbitrator(s): John F. Cordova, Ralph B. Perry, Steven A. Wawra
Hearing Site: Los Angeles, CA
| | |
| 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 |
