| 22-01587 | 06/11/2024 | Claimant(s): Nicholas Takahashi
Claimant Lawyers(s): Patrick R Mahoney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Michael G. Clark, Robert B. Hansohn, Jack R. Goetz
Hearing Site: Los Angeles, CA
| | |
| 21-03053 | 04/16/2024 | Claimant(s): Santa Rosa Rancheria Tachi Yokut Tribe
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Joseph Alfred Davis, Robert Rosen, Robert B. Hansohn
Hearing Site: Los Angeles, CA
|  | Expungement |
| 21-01837 | 12/14/2022 | Claimant(s): Mark Wagner
Claimant Lawyers(s): Mark Wagner
Respondent(s): Jack Hsia, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Robert E. Jenks, Marc David Wilde, Betty Jean Jackson
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-00383 | 11/22/2022 | Claimant(s): Carol Sorensen, Richard Paine, Stephen Sorensen
Claimant Lawyers(s): Philip L. Vujanov
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Jonathan B. Gilbert, Andrew Barton, Brian Luther
Hearing Site: Denver, CO
| | Expungement |
| 20-02143 | 11/11/2021 | Claimant(s): Branna Rose
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Gregory Heller, Steven Weinberger, HCR Wealth Advisors, Heller Capital Resources
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Joseph Alfred Davis, Constance Ellen Boukidis, Marc David Wilde
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-00562 | 08/30/2021 | Claimant(s): Aaron Coppelson, Nightingale NY1 LLC
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Elad Rahamim, Wells Fargo Clearing Services
Respondent Lawyers(s): Daniel J. Donovan, Esther E. Cho
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | Expungement |
| 19-03251 | 06/22/2021 | Claimant(s): Matthew Mirtahami
Claimant Lawyers(s): Chetan Patil
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Alan Stamm, Christine A. Page, Jordan M Bradley
Hearing Site: Los Angeles, CA
| | |
| 15-00624 | 07/22/2016 | Claimant(s): Laura Bell
Claimant Lawyers(s): David Lefkowitz
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Arthur T. Berggren, Lawrence Yaeger, Robert C. Albini
Hearing Site: Los Angeles, CA
| | $625,000 |
| 12-00859 | 01/17/2013 | Claimant(s): Anna Manzo, Francis Manzo, Francis M & Anna Marie Manzo Fam Trst, P. Manzo & W. Manzo Living Trust
Claimant Lawyers(s): Kristian P. Kraszewiski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Randall W Heinrich, Richard F. Dole, Michael L. Landrum
Hearing Site: Houston, TX
| | Expungement |
| 04-00393 | 04/23/2008 | Claimant(s): Peter Grymkowski
Claimant Lawyers(s): Bryan C. Altman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Sheldon M. Jaffe, Arthur F. Brueggeman, W. Alex King
Hearing Site: Los Angeles, CA
| | $31,000 |
