| 18-00497 | 09/16/2019 | Claimant(s): Guity Javid, Negeen Dehesh, Guity Javid Trust, Negeen Dehesh Trust
Claimant Lawyers(s): Grant B. Gelberg
Respondent(s): Aldo Lozano, Mark Panfil, RBC Capital Markets LLC
Respondent Lawyers(s): David Harrison, Michael M. Gless
Arbitrator(s): Edward A. Trabin, Mary M. O'Neil, Audrey Lynne Myer
Hearing Site: Los Angeles, CA
|  | $0 |
| 19-01651 | 08/14/2019 | Claimant(s): Bryan Stebel
Claimant Lawyers(s): Elizabeth A. Lowery
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeanette Dennis
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | |
| 17-03042 | 06/28/2019 | Claimant(s): Deborah Scribner, George Scribner, George H. Scribner IRA, Scribner. 401(k) Plan, Scribner Living Trust U/A DTD 05/16/1996, Scribner Inc, Defined Benefit Plan
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Anthony Ross, Wells Fargo Advisors, Lloyd Evans, Wachovia Securities Inc.
Respondent Lawyers(s): Geoff Beckham, Lloyd Glenn Evans
Arbitrator(s): Michael M. Hachigian, Mary M. O'Neil, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
| | Expungement |
| 18-00853 | 05/08/2019 | Claimant(s): Carolyn Jacobs, Charles Vaughn, Deanette Vaughn, Joseph Dominick, Robert Meyer, Rosemary Workman, Scott Fortin, Steven Jacobs, The Charles W Jacobs Family Trust, The Katherine Alfred Trust
Claimant Lawyers(s): John S. Chapman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Linda L. Drummond, Mary M. O'Neil, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $0 |
| 18-03736 | 04/11/2019 | Claimant(s): Ronald Valpey
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | |
| 18-00122 | 04/10/2019 | Claimant(s): Paula Tyler, Trustee Tyler Family Trust
Claimant Lawyers(s): Joseph S. Schuchert
Respondent(s): National Securities Corporation, Folio Investments.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Mary M. O'Neil, Earl Robert Jordan, Bonnie Chavez
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01020 | 06/22/2018 | Claimant(s): Lisa Pola
Claimant Lawyers(s): Tracy P Stoneman
Respondent(s): Morgan Stanley, Robert Perry
Respondent Lawyers(s): John S. Worden
Arbitrator(s): Michael Harrison, Mary M. O'Neil, Charles Chia-Lin Hsieh
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02661 | 04/02/2018 | Claimant(s): Elaine Peconi, The Elaine Peconi Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Mary M. O'Neil, Natalie Panossian-Bassler, Stephen Mack
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-00086 | 01/02/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Terry E. Sanchez
Respondent(s): Michael Novick
Respondent Lawyers(s): Michael Jay Novick
Arbitrator(s): Richard Marc Weinroth, Constance Ellen Boukidis, Mary M. O'Neil
Hearing Site: Las Vegas, NV
| | |
| 16-03488 | 11/20/2017 | Claimant(s): Jin Park
Claimant Lawyers(s): Jin Kyun Park
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Dean C. Abraham, Mary M. O'Neil, Robert Dean McKinley
Hearing Site: Las Vegas, NV
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