| 21-01022 | 06/18/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Henry Chang
Respondent Lawyers(s): Henry Chia-How Chang
Arbitrator(s): Mario H. Metzger, Kirtley M. Thiesmeyer, Daniel Lawrence Pearlman
Hearing Site: Los Angeles, CA
| | |
| 15-02108 | 07/05/2017 | Claimant(s): Michael Gallion, The Estate of Nancy Gallion
Claimant Lawyers(s): John D. Singer
Respondent(s): Calvin Zara, Pruco Securities.
Respondent Lawyers(s): Courtney Stieber, David H. Jarvis
Arbitrator(s): Kenneth E. Owen, Joseph Winter, Daniel Lawrence Pearlman
Hearing Site: Los Angeles, CA
|  | Expungement |
| 16-00503 | 06/01/2017 | Claimant(s): Jorge Casas IRA
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Shareholders Service Group.
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Benjamin F. Breslauer, Daniel Lawrence Pearlman, Isaac K. Tasinga
Hearing Site: Los Angeles, CA
| | $0 |
| 15-01311 | 03/16/2016 | Claimant(s): Suzanne Taylor
Claimant Lawyers(s): Deanna Besbekos
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Mary M. O'Neil, Daniel Lawrence Pearlman, Michael Joseph Desmond
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
