| 21-00526 | 06/09/2022 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Andrew Stout, Andrew Waldbaum, Christopher Horner, Kenneth Robbins, Lisa Detanna, Michelle Moore, Raymond James Trust, N.A.
Respondent Lawyers(s): Hayden Adams, Peter S. Fruin
Arbitrator(s): Robert D. Sussin, George Herman Frisch, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
| | |
| 19-03464 | 08/30/2021 | Claimant(s): Annette Bouso
Claimant Lawyers(s): Bruce J. Altshuler
Respondent(s): Fidelity Brokerage Services LLC, Miriam Khorramian
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Leslie Marie Hopp, H. Stuart Waxman, Obianuju Chioma-Bubbles Obasi
Hearing Site: Los Angeles, CA
|  | $0 |
| 18-03463 | 11/01/2019 | Claimant(s): Mark Tsuchiyose, Bay Area Digestive Health Medical Grp T, Mark & Kazumi Tsuchiyose Trust
Claimant Lawyers(s): Marc I Zussman
Respondent(s): John Lau, Girard Securities., LFS Asset Management
Respondent Lawyers(s): Craig Zafis, Elizabeth Lowery
Arbitrator(s): Kenneth M. Weinman, Eric Gad Forster, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
| | $0 |
| 15-03218 | 01/20/2017 | Claimant(s): Ann Vazzana, Bruce Vazzana, Vazzana Underground Construction, Vazzana Family Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Newport Coast Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Joseph C. Watson, Owen Frances, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-03861 | 07/27/2016 | Claimant(s): Dorothy McNiff, Grant McNiff, Dorothy McNiff IRA, Grant McNiff IRA, Grant & Dorothy McNiff Trust 5/24/2004
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Jarrod Serrato, Newport Coast Securities.
Respondent Lawyers(s): Dan Druz, Jarrod Thomas Serrato
Arbitrator(s): Richard A. Stephens, Peter J Cohen, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
| | $101,016 |
