| 16-01142 | 12/22/2016 | Claimant(s): Brad Stark
Claimant Lawyers(s): Chad Weaver
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Norman Cousins Sasamori, Milton N. Gross, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | |
| 15-00351 | 10/13/2016 | Claimant(s): Bambi Holzer
Claimant Lawyers(s): Heather Davis
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John L. Erikson
Arbitrator(s): Richard A. Stephens, Jeffrey L. Malek, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | |
| 14-01833 | 02/02/2015 | Claimant(s): Martha Peters, Martha Jo Peters, IRA
Claimant Lawyers(s): Martha Jo Peters
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Mack E. McCain
Arbitrator(s): Sandra L. Malek, Alan Stamm, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
|  | $0 |
| 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 |
| 13-00532 | 04/16/2014 | Claimant(s): Lingo Family Trust
Claimant Lawyers(s): E. Anthony Reguero
Respondent(s): Jim Lund, Robert Tweed, Capwest Securities., United Securities Alliance.
Respondent Lawyers(s): Dale K. Hall, H Thomas Fehn, Michael Jones
Arbitrator(s): Herbert Leslie Greenberg, Joseph Winter, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | $0 |
| 10-02139 | 03/19/2013 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Caio Dunson
Respondent Lawyers(s): Tanya Sacks
Arbitrator(s): Louis R. Eglash, Mandel E. Himelstein, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | |
| 10-04022 | 02/28/2012 | Claimant(s): Andrew Vogelbach, Karl Vogelbach, Karl Heinrich Vogelbach MD MPP & Trust U, Karl HeinrichVogelback MD MNY Prchse PL
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): Jens Spitta, Quincy Cass Associatesorporated
Respondent Lawyers(s): Sylvia M. Scott
Arbitrator(s): David W. Dresnick, Kendall C. Reed, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | $0 |
| 10-00502 | 12/13/2011 | Claimant(s): Carmela Di Gregorio
Claimant Lawyers(s): Thomas R. Catanese
Respondent(s): Oppenheimer & Co.., Ronald Kunze
Respondent Lawyers(s): Diana H. Sur, Robert J. Girard
Arbitrator(s): John E. Ohashi, Elizabeth A. Copley, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-00822 | 06/22/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Steven Pompan
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Richard J. Stall, Marc S. Joseph, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | |
