| 22-00379 | 06/30/2023 | Claimant(s): Vukich Family Trust U/A Dated 07/17/2003
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Hulley, Richard Sanders
Respondent Lawyers(s): Kelly L. Doyle
Arbitrator(s): Barbara M. Zak, Eric Gad Forster, Jack R. Goetz
Hearing Site: Los Angeles, CA
|  | Expungement |
| 21-02458 | 02/02/2022 | Claimant(s): Patricia Mary Taylor Trust
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): Christopher Taylor, Kestra Investment Services
Respondent Lawyers(s): Craig Zafis, Richard A. D'Amura
Arbitrator(s): Thomas E Shuck, Randy R. Maher, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 19-02998 | 10/14/2020 | Claimant(s): Teresa Valdez, Teresa Valdez IRA
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Alan Stamm, Susan B. Gans-Smith, Daniel A. Seiver
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
| 19-01927 | 05/27/2020 | Claimant(s): David Moore, David L. Moore IRA
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Joyce L. Hurley, Alan M. Rosen, Robert C. Albini
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
