| 23-01577 | 09/05/2024 | Claimant(s): Lester Berman
Claimant Lawyers(s): John Owen Murrin
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Erik R. Siering, Jeffrey L. Malek, Randall William Clow
Hearing Site: Los Angeles, CA
|  | $0 |
| 22-02572 | 03/25/2024 | Claimant(s): Emma Ward
Claimant Lawyers(s): Scott L. Silver
Respondent(s): PHX Financial.
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Jeffrey L. Malek, Mark T Risner, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | Expungement |
| 19-00231 | 07/27/2022 | Claimant(s): Goldman, Sachs and Company, The Goldman Sachs Group.
Claimant Lawyers(s): Robert A. Sacks
Respondent(s): Tim Leissner
Respondent Lawyers(s): Henry E. Mazurek
Arbitrator(s): Jeffrey L. Malek, Daniel R. Brush, Andrew W. Levin
Hearing Site: Los Angeles, CA
| | |
| 18-02034 | 11/03/2020 | Claimant(s): Gauntlet Holdings LLC
Claimant Lawyers(s): Craig Beling
Respondent(s): David A. Noyes & Company
Respondent Lawyers(s): John D. Ruark
Arbitrator(s): Jeffrey L. Malek, John R Sustersic, Jeff Hass
Hearing Site: Los Angeles, CA
| | $0 |
| 19-02715 | 03/27/2020 | Claimant(s): Paul Kuhn
Claimant Lawyers(s): Paul D Kuhn
Respondent(s): Jimmy Epley
Respondent Lawyers(s): Ryan D. Harvey
Arbitrator(s): Jeffrey L. Malek
Hearing Site: Las Vegas, NV
| | |
| 17-01334 | 09/18/2018 | Claimant(s): Estate of Manlio Frank Ajello, Deceased, Emily Gordon
Claimant Lawyers(s): Emily Gordon
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Joseph Winter, Jeffrey L. Malek, Judy Man-Ling Lam
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00351 | 10/13/2016 | Claimant(s): Bambi Holzer
Claimant Lawyers(s): Heather Davis
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John L. Erikson
Arbitrator(s): Richard A. Stephens, Jeffrey L. Malek, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | |
| 15-01412 | 05/13/2016 | Claimant(s): Stuart Simpson
Claimant Lawyers(s): John L. Palmer
Respondent(s): Paulson Investment Company, James Schwartz, Joseph Lascala, Kevin Stamm, Shawn Mcchesney, Steven Luftschein, Thomas Custance
Respondent Lawyers(s): James Bradley Schwartz, Joseph Brian Lascala, Kevin Robert Stamm, Stephen P. McCarthy, Steven Robert Luftschein, Tanya Durkee Urbach, Thomas Michael Custance
Arbitrator(s): Jeffrey L. Malek
Hearing Site: Los Angeles, CA
| | $300 |
| 11-04747 | 11/08/2012 | Claimant(s): John Stern, Karen Stern, The Stern Family Trust dtd 11/5/00
Claimant Lawyers(s): Daniel Carlson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Jeffrey L. Malek
Hearing Site: Los Angeles, CA
| | $213 |
| 09-04007 | 01/03/2011 | Claimant(s): Curtis Hill
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): David Commins
Arbitrator(s): Jon A. Bostrom, Jeffrey L. Malek, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
