16-01693 | 02/23/2017 | Claimant(s): Kean Boucher Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): A.G. Edwards & Sons. Respondent Lawyers(s): Thomas Kopshever Arbitrator(s): Samuel L. McClaren, Anita Rae Shapiro, Tausha C. Riley Hearing Site: Denver, CO
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16-02635 | 12/07/2016 | Claimant(s): David Corbett, Dennis Rosene, Donald Adams, Ekeanor Reed, Elsa Rosene, Gail Fortune, Gerald Berend, Loretta Mak, Mary Wokciechowski, Stan Wojciechowski, Suvawinds., Crost Imports Inc., A.C. Family Limited Partnership Claimant Lawyers(s): Kenneth J. Catanzarite Respondent(s): Rory Hartley Respondent Lawyers(s): Katherine C. Donlon Arbitrator(s): Morris S. Getzels, Joseph C. Watson, Anita Rae Shapiro Hearing Site: Los Angeles, CA
| | Expungement |
16-02636 | 12/07/2016 | Claimant(s): David Corbett, Dennis Rosene, Donald Adams, Eleanor Reed, Elsa Rosene, Gail Fortune, Gerald Berend, Loretta Mak, Mary Wojciechowski, Stan Wojciechowski, Crost Imports Inc., Suvawinds, A.C. Family Limited Partnership Claimant Lawyers(s): Kenneth J. Catanzarite Respondent(s): Leanne Walsh Respondent Lawyers(s): Katherine C. Donlon Arbitrator(s): Morris S. Getzels, Joseph C. Watson, Anita Rae Shapiro Hearing Site: Los Angeles, CA
| | Expungement |
15-00887 | 08/10/2016 | Claimant(s): Joanna Cottrell Claimant Lawyers(s): Jonathan W. Evans Respondent(s): Woodridge Capital Portfolio Management Respondent Lawyers(s): Joshua Horn Arbitrator(s): Anita Rae Shapiro, Ronald F. Rybandt, Daniel James Yee Hearing Site: Los Angeles, CA
| | $0 |
15-01700 | 06/01/2016 | Claimant(s): Denis P. Doyle IRA, Denis P. Doyle Revocable Trust FBO Denis, Gloria R. Doyle Revocable Trust FBO Glor Claimant Lawyers(s): Aaron M. May, Grant B. Gelberg Respondent(s): Morgan Stanley, Peter Doyle, Wendy Feldman Respondent Lawyers(s): Ronald E. Wood Arbitrator(s): Gary Timothy Haight, Susan B. Gans-Smith, Anita Rae Shapiro Hearing Site: Los Angeles, CA
| | $8,606,600 |
14-03860 | 11/27/2015 | Claimant(s): Shirley Peltier Claimant Lawyers(s): Stacy Joel Safion Respondent(s): James Roberts, Cullum & Burks Securities. Respondent Lawyers(s): James Michael Roberts, Steve L. Burks Arbitrator(s): Ronald L. Cameron, Anita Rae Shapiro, George Frederick Garris Hearing Site: Los Angeles, CA
| | $275,987 |
14-02337 | 09/24/2015 | Claimant(s): Jay Stein, Jay J. Stein IRA Rollover, Jay J. Stein Retirement Fund dtd 9/1/85 Claimant Lawyers(s): Katrina M. Boice, Ryan K. Bakhtiari Respondent(s): Northeast Securities., The Benchmark Company. Respondent Lawyers(s): Charles M. O'Rourke Arbitrator(s): Robert B. Hansohn, Thomas R. Watkins, Anita Rae Shapiro Hearing Site: Los Angeles, CA
| | $126,550 |
13-01022 | 06/02/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Carole Miller Respondent(s): Derek Greeff Respondent Lawyers(s): Steven R. Young Arbitrator(s): Morris S. Getzels, Robert Dean McKinley, Anita Rae Shapiro Hearing Site: Los Angeles, CA
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14-01213 | 05/07/2015 | Claimant(s): Cathie Legault, Ronald Legault Claimant Lawyers(s): Gary Menzer, Michael Hill Respondent(s): George Carris, Jason Barter, John Carris Investments LLC Respondent Lawyers(s): George William Carris, Jason Christian Barter Arbitrator(s): Anita Rae Shapiro Hearing Site: Los Angeles, CA
| | $205,269 |
13-02888 | 03/25/2015 | Claimant(s): Leslie Kraynak, Robert Kraynak, Leslie A. Kraynak IRA, Robert C. Kraynak IRA Claimant Lawyers(s): T. John Kirk Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Gordon C. Young Arbitrator(s): Mark S. Priver, Steven A. Wawra, Anita Rae Shapiro Hearing Site: Los Angeles, CA
| | $0 |