| 13-03275 | 07/10/2024 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): James Dryden
Respondent Lawyers(s): Deborah A. Klar
Arbitrator(s): Robert D. Sussin, Kirtley M. Thiesmeyer, Frank Centofanti
Hearing Site: Los Angeles, CA
| | |
| 14-03220 | 05/18/2017 | Claimant(s): Angelina Gerber, Harvey Gerber, H&A Gerber Trust dated 7/5/2005, The Lambert Family Trust dd 11/4/2007
Claimant Lawyers(s): Philip Aidikoff, Ryan K. Bakhtiari
Respondent(s): Charles Laverty, Oppenheimer & Co.., UBS Financial Services Inc.
Respondent Lawyers(s): Gary R. Wallace, Neal S. Robb, Robert B. Ericson
Arbitrator(s): Elliott Zachary Seff, Arthur T. Berggren, Cherie S. Lewis
Hearing Site: Los Angeles, CA
|  | $1,379,400 |
| 15-00493 | 04/07/2017 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): Michael Jarmolowich
Respondent Lawyers(s): Michael Jarmolowich
Arbitrator(s): Bernard M. Levine
Hearing Site: New York, NY
| | |
| 13-01995 | 11/17/2015 | Claimant(s): Sean Edrington
Claimant Lawyers(s): Joseph R. Becerra
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Herbert Murez, Benjamin F. Breslauer, Brant Jackson Griffin
Hearing Site: Los Angeles, CA
| | |
| 12-02582 | 01/13/2015 | Claimant(s): Blue Bank International N.V.
Claimant Lawyers(s): Ralph M. Stone
Respondent(s): Mark Yale, HSBC Securities (USA) Inc.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Lawrence S. Silver, Donald Theodore Ryce, Paul Chernis
Hearing Site: Miami, FL
| | $3,250,000 |
| 12-01338 | 12/12/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): William McClendon
Respondent Lawyers(s): Joseph A. Salazar
Arbitrator(s): John J. Flynn, Edwin C. Shiver, Zachary Scott Rigdon
Hearing Site: San Francisco, CA
| | |
| 11-00469 | 07/22/2013 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): Trevor Rahn
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Alan Stamm, Gary Timothy Haight, Dean Schneider
Hearing Site: Los Angeles, CA
| | |
| 10-03889 | 03/12/2012 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): Andrew Zicklin
Respondent Lawyers(s): Andrew Zicklin
Arbitrator(s): David Zollman, Arthur F. Brueggeman, Thomas Mason Harwood
Hearing Site: Los Angeles, CA
| | |
| 09-02583 | 11/29/2011 | Claimant(s): Jose Castaneda, Felicitas Castaneda
Claimant Lawyers(s): Jose Castaneda
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Erik R. Siering, David L. Maislen, Henry Marris Wollman
Hearing Site: Los Angeles, CA
| | $0 |
| 10-01168 | 01/19/2011 | Claimant(s): Robert Reynolds, Susan Pitsch Reynolds, The 403-B Plan FBO Susan H. Pitch-Reynol, The Reynolds Living Trust U/A 6/14/03
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Ralph B. Perry, Mary M. O'Neil, Christopher William Shaw
Hearing Site: Los Angeles, CA
| | Expungement |
