| 15-01323 | 05/23/2016 | Claimant(s): Wesley Long
Claimant Lawyers(s): Philip M. Aidikoff
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John W. Stenson
Arbitrator(s): Joy Diane Williams, Robert E. Jenks, W. Alex King
Hearing Site: Los Angeles, CA
| | |
| 13-01572 | 04/23/2015 | Claimant(s): F. Gardner, Jeffrey Lane, Shapiro Family Trust, Sunita Kumar Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Vincent J. Natoli, Robert E. Jenks, Joseph L. Hagan
Hearing Site: Los Angeles, CA
|  | Expungement |
| 12-04141 | 07/25/2013 | Claimant(s): David Morris, Jane Morris
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Courtney M. Rogers Reid
Arbitrator(s): Robert E. Jenks, David L. Moran, Thomas J. Tanksley
Hearing Site: Las Vegas, NV
| | Dismissed by Rule 12504 |
| 12-03471 | 05/10/2013 | Claimant(s): Mike Safaie
Claimant Lawyers(s): Mike Safaie
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Robert E. Jenks, Jack R. Goetz, Darrell Thomas Reed
Hearing Site: Los Angeles, CA
| | |
| 11-03133 | 04/24/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Nicholas Yrizarry
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Robert E. Jenks, Ronald D. Goldman, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | |
| 09-06200 | 11/04/2011 | Claimant(s): Michael Padilla, PTC Acquisitions
Claimant Lawyers(s): David Darnell
Respondent(s): Citigroup Global Markets., Morgan Stanley, Nat Di Carlo, Robert Martensen, Smith Barney, Smith Barney Consulting Group, The Catalina Group
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Dorothy B. Strackbein, David W. Dresnick, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $0 |
| 10-01545 | 11/02/2011 | Claimant(s): Glenna Maguire, Glenna L. Maguire Trust UTD 7/26/07
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): Wedbush Securities Inc., George Dahl
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): John Alen DeRosa, Robert E. Lawson, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $12,500 |
| 11-01384 | 10/04/2011 | Claimant(s): Margot Mandel
Claimant Lawyers(s): Colleen Marmor
Respondent(s): Kumbirai Mtunga
Respondent Lawyers(s): Kumbirai Vincent Mtunga
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $3,000 |
| 10-02766 | 05/24/2011 | Claimant(s): Brent Richtsmeier
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Jack Kalisz, National Securities Corporation, Joseph Stevens & Co..
Respondent Lawyers(s): Josepha Sorbara, Mark Roth
Arbitrator(s): Annette Gres Shepherd, Robert E. Jenks, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-03441 | 03/22/2011 | Claimant(s): Hugh Glass
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Robert E. Jenks
Hearing Site: Birmingham, AL
| | $4,213 |
