| 21-02474 | 12/29/2022 | Claimant(s): Zhe Feng Zhang
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Edward Jones
Respondent Lawyers(s): Teresa J. Thong
Arbitrator(s): Kirtley M. Thiesmeyer, Jonathan D Gereige, Steve S. Baghoomian
Hearing Site: Los Angeles, CA
| | |
| 21-00004 | 06/02/2022 | Claimant(s): Paul R. Hutchinson SEP IRA, Paul Hutchinson Jr Living Tr DTD 6/26/91
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kathleen Salvaty
Arbitrator(s): Michael John Florio, Joseph Francis Young, Julia Ulloa
Hearing Site: Los Angeles, CA
|  | Expungement |
| 17-00791 | 07/01/2019 | Claimant(s): Mansoor Karamooz, Trustee
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Richard M. Norman, Edward H. Davis, Barry A. Fisher
Hearing Site: Los Angeles, CA
| | $209,482 |
| 18-00783 | 09/21/2018 | Claimant(s): Jodi Selleck
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael Leahy
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 16-02369 | 03/05/2018 | Claimant(s): Ann Ellingson, Ann B. Ellingson IRA Accounts, Ellingson Family Partners Business Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Neil S. Jasper, Michael M. Hachigian, Mark Thomas Risner
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-02612 | 09/15/2016 | Claimant(s): John Gabay III, Karen Gabay, Gabay Private Trust dated 11/28/06
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Larry Michaels, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman, Kayla S.S. Betbout
Arbitrator(s): Robert B. Hansohn, Richard Lee Fausett, John M Harvey
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-03649 | 05/19/2016 | Claimant(s): Arthur Torrellas, Arthur A. Torrellas Q-Tip Marital Trust, Arthur A. Torrellas Survivor's Trust, Arthur Torrellas NonExempt QTip Marital, Carole M. Torrellas Decedent's Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors, Eric Spraker, Richard Spraker
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Ronald L. Cameron, Robert Rosen, Steven K. Ogata
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-00865 | 06/23/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Benjamin W. White
Respondent(s): Daniel Cairns
Respondent Lawyers(s): Montgomery G. Griffin
Arbitrator(s): Homer L. Davis, Val D. Hornstein, Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 13-00429 | 01/30/2014 | Claimant(s): Patrick Van Hien
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): PCBB Capital Markets.
Respondent Lawyers(s): Daryl S. Landy
Arbitrator(s): Helen Marinak Blohm, Carlos Richard Mangum, Shawn Ridgell
Hearing Site: San Francisco, CA
| | |
| 11-03419 | 02/22/2013 | Claimant(s): Newport Coast Securities.
Claimant Lawyers(s): Irving M. Einhorn
Respondent(s): Deborah Scott, Joseph Mangiapane, Kathleen McPherson, Stephen Washburn
Respondent Lawyers(s): Irving M. Einhorn, Montgomery G. Griffin
Arbitrator(s): Edward J. Costello, Keith Schulner, Michael John Florio
Hearing Site: Los Angeles, CA
| | |
