| 16-03671 | 10/05/2018 | Claimant(s): Frank Meyers, Meyers FLP, Kepner Plastics Profit Sharin Plan, Frank Meyers Family Trust, Meryl Lee on behalf of Calle Mayor Trust
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Robert E. Jenks, Holly Banafsheh, Owen Frances
Hearing Site: Los Angeles, CA
|  | Expungement |
| 17-00230 | 09/28/2018 | Claimant(s): Elide Corporation
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Robert B. Hansohn, Robert E. Jenks, Aurelio A. Garcia
Hearing Site: Los Angeles, CA
| | Expungement |
| 17-02597 | 05/30/2018 | Claimant(s): Peter Han
Claimant Lawyers(s): Owen Harnett
Respondent(s): Centaurus Financial., First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden, Paul King
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 16-00812 | 01/25/2018 | Claimant(s): Petra Latch, Criterion Group Inc.fka The Randal Compa, Peve, Peve Defined Benefit Pension Plan, Randall Company Defined Benefit Pension
Claimant Lawyers(s): David Mincin
Respondent(s): Christine Soscia, Steven BeattyL Independent Advisor Services Group,
Respondent Lawyers(s): David Freniere, Jay Young
Arbitrator(s): Benjamin F. Breslauer, Robert E. Jenks, Daniel Clay McGuire
Hearing Site: Las Vegas, NV
| | Expungement |
| 16-01946 | 12/06/2017 | Claimant(s): Jerald Halverson, Michael Winn
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Samantha W. Mahoney
Arbitrator(s): Robert E. Jenks, Pamela Jane Koslow, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA
| | |
| 16-02756 | 08/25/2017 | Claimant(s): Donald Adams, Eleanor Reed, Suvawinds.
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Christopher Goslin, David Bernstein, Domenic Morrone, Richard Nummi
Respondent Lawyers(s): David John Bernstein, Domenic James Morrone, Eric J. Dec, Richard Mark Nummi
Arbitrator(s): Robert E. Jenks, Lori A. Coleman, Joseph Francis Young
Hearing Site: Los Angeles, CA
| | $147,019 |
| 16-01608 | 08/10/2017 | Claimant(s): Josette S. Hatter IRA, Rodney R. Hatter SEP IRA account
Claimant Lawyers(s): Rodney Ray Hatter
Respondent(s): Brian Henderson, UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $0 |
| 14-01424 | 05/17/2017 | Claimant(s): Roger Donenfeld, Roger F. Donenfeld IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Daniel Terpak, National Securities Corporation, Melvin Stoutenburg, Mohammed Sheikh
Respondent Lawyers(s): Michael P. Gilmore, Randall C. Place
Arbitrator(s): Michael M. Hachigian, Robert E. Jenks, Madina C. Boland
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-02684 | 03/30/2017 | Claimant(s): Adina Pruitt
Claimant Lawyers(s): Erin E. Hanson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Roberta Haft, Elliott David Finkel, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 14-02657 | 11/03/2016 | Claimant(s): David Shamsian, Roya Shamsian
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): ING America Equities.
Respondent Lawyers(s): C. Bryce Benson
Arbitrator(s): George L. Tindall, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $0 |
