| 12-02996 | 05/20/2013 | Claimant(s): Stephen Epstein
Claimant Lawyers(s): Stephen S. Epstein
Respondent(s): Brokersxpress LLC
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 11-00677 | 05/17/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Zak Shapiro
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): John E. Ohashi, W. Alex King, Erich Daniel Schiefelbine
Hearing Site: Los Angeles, CA
| | |
| 12-00123 | 05/17/2013 | Claimant(s): Judith Biss, Kenneth Biss, USA Hawaii Self Storage 14 LLC
Claimant Lawyers(s): John Owen Murrin
Respondent(s): Kenneth McDonald, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Ralph H. Erickson, Elliott David Finkel, Robert A. Lombardi
Hearing Site: Los Angeles, CA
|  | Expungement |
| 12-00211 | 05/17/2013 | Claimant(s): John Accardi
Claimant Lawyers(s): John Accardi
Respondent(s): David Hess, Charles Schwab & Co.., Robert Oberlander
Respondent Lawyers(s): Audette P. Morales
Arbitrator(s): Robert Dean McKinley
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-01167 | 05/14/2013 | Claimant(s): Suzy Asad, 1999 Suzy Asad Revocable Trust dtd 8/20/
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Mamdoh Abas, Proequities.
Respondent Lawyers(s): Alexis Y. Lu, Brandon Reif
Arbitrator(s): Robert B. Moran, Richard M. Norman, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | $448,560 |
| 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
| | |
| 12-01093 | 05/08/2013 | Claimant(s): Stephen Picarello
Claimant Lawyers(s): Elizabeth Kramer
Respondent(s): Citigroup Global Markets., Lauro Reyes
Respondent Lawyers(s): Alex J. Rosenthal
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | $17,680 |
| 12-00069 | 05/02/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Jiraeyer Kharatian
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | |
| 12-03991 | 05/02/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Gregory O. Eisenreich
Respondent(s): Fariba Madison
Respondent Lawyers(s): Greg Sherwin
Arbitrator(s): Norman Cousins Sasamori, Robert F. Saint-Aubin, Richard Lee Fausett
Hearing Site: Los Angeles, CA
| | |
| 10-05097 | 05/01/2013 | Claimant(s): Peter Prescott
Claimant Lawyers(s): David Harrison
Respondent(s): Financial Network Investment Corporation, The Leader Board
Respondent Lawyers(s): Robert L. Hill
Arbitrator(s): Alan Stamm, James A. Sigler, Walter R. Whitman
Hearing Site: Los Angeles, CA
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