| 15-03409 | 09/01/2017 | Claimant(s): Paul Marcus
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John L. Erikson
Arbitrator(s): Edward Banian, Michael M. Hachigian, Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | |
| 16-01813 | 05/31/2017 | Claimant(s): Simon Fields
Claimant Lawyers(s): Mark Gaylord
Respondent(s): Guillaume Chavaneau, Gurpreet Singh, Shane Melito
Respondent Lawyers(s): Guillaume Gpa Chavaneau, Gurpreet Singh, Shane Joseph Melito
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
|  | $51,459 |
| 15-01665 | 11/22/2016 | Claimant(s): Praveen Chandra
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Mary M. O'Neil, Brent J. Rosenbaum, Michael John Florio
Hearing Site: Las Vegas, NV
| | $0 |
| 14-03641 | 11/09/2016 | Claimant(s): Joseph Guglielmo, JFG Music, King Edward Baltimore, Leland Hotel Development
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Melissa M. Muehfeld
Arbitrator(s): Mary M. O'Neil, Michael John Florio, Cynthia Ruth Saffir
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-01311 | 03/16/2016 | Claimant(s): Suzanne Taylor
Claimant Lawyers(s): Deanna Besbekos
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Mary M. O'Neil, Daniel Lawrence Pearlman, Michael Joseph Desmond
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 13-02435 | 08/05/2015 | Claimant(s): Jon Deusenberry
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Morris S. Getzels, Mary M. O'Neil, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-00146 | 06/03/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Michael Spinali
Respondent Lawyers(s): Michael Luciano Spinali
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | |
| 13-01263 | 02/04/2015 | Claimant(s): Willie Flores
Claimant Lawyers(s): Eric A. Woosley
Respondent(s): Christopher Ariola
Respondent Lawyers(s): Christopher B. Ariola
Arbitrator(s): Mary M. O'Neil, Robert Dean McKinley, David K. Slay
Hearing Site: Los Angeles, CA
| | $0 |
| 13-00333 | 11/06/2014 | Claimant(s): John Chase, Susan Chase, Chase Charitable Remainder Trust
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): Wells Fargo Advisors, Mark Vandeburgt
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Alan Stamm, Mary M. O'Neil, Robert Weston Armstrong
Hearing Site: Los Angeles, CA
| | $144,808 |
| 11-02566 | 12/21/2012 | Claimant(s): Idelji Corporation Defined Benefit Pensi, Khodyayar Family Trust DTD 5-12-05, By I
Claimant Lawyers(s): Edward H Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC Montgomery
Arbitrator(s): Arthur F. Brueggeman, Joyce L. Hurley, Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | Expungement |
