| 18-01427 | 08/09/2019 | Claimant(s): John Quinn
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Trevor J. Hardy
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 18-02082 | 07/15/2019 | Claimant(s): Aaron Maurer
Claimant Lawyers(s): Owen Harnett
Respondent(s): Rp Capital Llc
Respondent Lawyers(s): Gary Price
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 18-00818 | 06/03/2019 | Claimant(s): John Baker
Claimant Lawyers(s): David Liebrader
Respondent(s): Morgan Stanley, Peter Lewis
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Larry Edmonson, Anita Rae Shapiro, Douglas B. Harris
Hearing Site: Las Vegas, NV
|  | Expungement |
| 17-01678 | 03/14/2019 | Claimant(s): C.Billington S.T. for J.Billington Trust
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): P. Burke Esq.
Arbitrator(s): Anita Rae Shapiro, Noel Harvey Applebaum, Steven H. Gentry
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 18-01771 | 01/15/2019 | Claimant(s): Bryan Jarman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
| | |
| 15-00852 | 06/12/2018 | Claimant(s): Gail Fortune, Crost Imports.
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Harold White, Kathleen Shave, Louis Kittlaus, Ashton Capital Management.
Respondent Lawyers(s): Harold Carse White, Kathleen Ann Shave, Louis Karl Kittlaus
Arbitrator(s): Morris S. Getzels, Joseph C. Watson, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $2,145,300 |
| 17-02931 | 05/21/2018 | Claimant(s): Shawn Rogers
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
| | |
| 17-00020 | 02/09/2018 | Claimant(s): Forrest Friedow
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Larson Financial Securities.
Respondent Lawyers(s): Sean P. O'Hanlon
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 15-00148 | 10/30/2017 | Claimant(s): James Wong, Justin Harris
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Rebecca L. Gerome
Arbitrator(s): Anita Rae Shapiro, David Martin Achterkirchen, John Burritt McArthur
Hearing Site: San Francisco, CA
| | |
| 16-00826 | 08/23/2017 | Claimant(s): Charles Morgan, Charles W. Morgan Revocable Living Trust
Claimant Lawyers(s): Charles W. Morgan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie, Esq.
Arbitrator(s): Michael Harrison, Richard M. Norman, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Expungement |
