| 14-02288 | 05/22/2015 | Claimant(s): JCP Securities.
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): Jason Wright, Stephen Perry, BA Securities
Respondent Lawyers(s): Jeffrey K. Riffer, Robert J. Girard
Arbitrator(s): Michael D. Harrison, William Lee Krantz, BaoKim N. Coleman
Hearing Site: Los Angeles, CA
| | |
| 13-03600 | 04/15/2015 | Claimant(s): Gloria Ruiz, Roberto Ruiz
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Maurice Chelliah, Evolve Securities.
Respondent Lawyers(s): Jason E. Brown, Maurice Joseph Chelliah
Arbitrator(s): Howard A. Emirhanian, Michael D. Harrison, David K. Slay
Hearing Site: Los Angeles, CA
|  | $60,000 |
| 14-00985 | 10/14/2014 | Claimant(s): optionsXpress.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kuba Jewgieniew, Clear Lake Business Services LLC, Clear Lake Company Limited Partnership
Respondent Lawyers(s): Brian VanCleave
Arbitrator(s): June McLaughlin, Michael D. Harrison, Erich Daniel Schiefelbine
Hearing Site: Las Vegas, NV
| | $0 |
| 11-02151 | 10/07/2014 | Claimant(s): Gary Quick, The Quick Family Trust
Claimant Lawyers(s): Gary J. Quick
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David Markun
Arbitrator(s): Gerald F. Corrigan, Michael D. Harrison, Christopher L. Mass
Hearing Site: Los Angeles, CA
| | $0 |
| 13-03003 | 08/28/2014 | Claimant(s): Susi Orlean Bahat Family Trust
Claimant Lawyers(s): Robert W. Shaffer
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-03247 | 06/27/2014 | Claimant(s): Robert Blakeman and Anne Blakeman Mahr
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Barry Bayat, UBS Financial Services Inc.
Respondent Lawyers(s): Michael M. Gless, Tara B. Voss
Arbitrator(s): Michael D. Harrison, Dorothy B. Strackbein, Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-04345 | 04/25/2014 | Claimant(s): Austin Family Trust
Claimant Lawyers(s): Gregory Austin
Respondent(s): Edwin Stanton, Morgan Stanley
Respondent Lawyers(s): Melissa Muehfeld
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | $19,148 |
| 13-00395 | 04/04/2014 | Claimant(s): Ellen Jackson, Thomas Jackson
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Newport Coast Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Michael D. Harrison, Milton N. Gross, Ted Paul Comfort
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-02279 | 03/14/2014 | Claimant(s): Henry & Layla Steelman Family Trust
Claimant Lawyers(s): Henry Steelman
Respondent(s): Monte Traficante, Stockcross Financial Services.
Respondent Lawyers(s): Chris Albanese
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02736 | 03/04/2014 | Claimant(s): Bart Sullivan, Bart Sullivan.
Claimant Lawyers(s): Bart Sullivan
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Michael D. Harrison, Dennis A. Torres, Jack R. Goetz
Hearing Site: Los Angeles, CA
| | $0 |
