| 21-01427 | 10/13/2022 | Claimant(s): Nancy Flaherty
Claimant Lawyers(s): Ryan Gustafson
Respondent(s): LPL Financial LLC, Shawn Hochuli
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Victoria E Johnson, Constance Ellen Boukidis, Barry D. Kaye
Hearing Site: Los Angeles, CA
|  | $0 |
| 16-01550 | 06/19/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Adam A. Brown
Respondent(s): Edison Noboa
Respondent Lawyers(s): Jonathan Schwartz
Arbitrator(s): Victoria E. Johnson, Thomas R. Watkins, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 12-02073 | 05/08/2015 | Claimant(s): Anthony DeLuca, Nicolinda De Luca
Claimant Lawyers(s): Charles M. Gibbs, Daniel B. Lipson
Respondent(s): Robert Tweed
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Victoria E. Johnson, James A. Sigler, Adam Michael Porter
Hearing Site: Los Angeles, CA
| | $0 |
| 13-00415 | 08/07/2014 | Claimant(s): Elizabeth Steinlauf, ENS Family Trust U/D/T 12/27/11, Elizabeth N. Steinlauf Trust
Claimant Lawyers(s): Jahan K. Manasseh, Steven D. Toskes
Respondent(s): Timothy Neuville
Respondent Lawyers(s): Connie M. Anderson
Arbitrator(s): Victoria E. Johnson, Judith Porter, Karen L. Gold
Hearing Site: Los Angeles, CA
| | $0 |
| 11-03575 | 06/03/2013 | Claimant(s): Torrey Pines Securities.
Claimant Lawyers(s): Michael Jacobs
Respondent(s): Adam Schwartz, Charles Schwab & Co..
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): James R. Duncan, Victoria E. Johnson, David W. Casey
Hearing Site: Los Angeles, CA
| | |
| 11-04551 | 07/06/2012 | Claimant(s): Ning Hu
Claimant Lawyers(s): Ning Hu
Respondent(s): Leo Chien
Respondent Lawyers(s): Leo Li-yuan Chien
Arbitrator(s): Victoria E. Johnson
Hearing Site: Los Angeles, CA
| | $33 |
| 10-04508 | 06/09/2011 | Claimant(s): Jack Vincent
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn J. Bushby
Arbitrator(s): Victoria E. Johnson
Hearing Site: Nashville, TN
| | $128 |
| 09-00116 | 06/14/2010 | Claimant(s): Richard Sampson
Claimant Lawyers(s): James A. Shalvoy
Respondent(s): Capmark Securities Inc.
Respondent Lawyers(s): John V. McDermott
Arbitrator(s): Victoria E. Johnson, Grace L. Heyne, Steven A. Wawra
Hearing Site: Los Angeles, CA
| | |
| 07-01083 | 03/17/2009 | Claimant(s): Terry L. Haines and Jimmy H. Haines
Claimant Lawyers(s): David Liebrader
Respondent(s): Christopher Zockoll, James Catledge
Respondent Lawyers(s): Phillip R. Emerson, Todd M. Touton
Arbitrator(s): Victoria E. Johnson, Philip H. Marmurowski, Gregory B. Wood
Hearing Site: Las Vegas, NV
| | $129,503 |
| 07-02489 | 08/25/2008 | Claimant(s): Janice Lawrence, Ronald Lawrence, Recruiter's Resource.
Claimant Lawyers(s): Mark A. Schadrack
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Victoria E. Johnson, Morris S. Getzels, Valerie Lewis
Hearing Site: Los Angeles, CA
| | $0 |
