| 14-03868 | 12/14/2015 | Claimant(s): Kenneth Van Wagenen
Claimant Lawyers(s): Edward Gartenberg
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stephen Young
Arbitrator(s): George H. Casey, Elliott David Finkel
Hearing Site: Los Angeles, CA
| | |
| 14-03685 | 12/08/2015 | Claimant(s): Thomas Newgard
Claimant Lawyers(s): Jeffrey S. Kob
Respondent(s): Linda Romero, Ron Romero
Respondent Lawyers(s): Linda Romero, Ron Romero
Arbitrator(s): John E. Ohashi
Hearing Site: Los Angeles, CA
|  | Expungement |
| 14-00029 | 12/03/2015 | Claimant(s): Irving Nast
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Brian Hagerman, John Matthews, Equities Trading Corporation, Global Arena Capital Corp, Joseph Gunnar & Co.
Respondent Lawyers(s): John E. Lawlor, Ronald S. Herzog
Arbitrator(s): Edward J. Costello, Alan M. Rosen, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
| | $0 |
| 12-02414 | 12/02/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Daren A. Luma, Mauricio Beugelmans
Respondent(s): Matthew Celenza
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): George L. Tindall, Ronald F. Rybandt, Gregory Douglas Stone
Hearing Site: Los Angeles, CA
| | |
| 15-01376 | 12/02/2015 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott Rahn
Respondent(s): Robert Berra
Respondent Lawyers(s): Robert Berra
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | Expungement |
| 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 |
| 12-02861 | 11/24/2015 | Claimant(s): Narinder Grewal, Pritpal Grewal, Shannon Grewal, Yuvraj Grewal, Narinder S. Grewal,MD Defined Benefit
Claimant Lawyers(s): Anthony L. Vitullo, Austin H. England
Respondent(s): Naveen Bhagwani, Niyukt Bhasin, NSM Securities.
Respondent Lawyers(s): Naveen K. Bhagwani, Niyukt Raghu Bhasin, Niyukt Bhasin
Arbitrator(s): Laurent C. Vonderweidt, Steven J. Feldman, Robert Dean McKinley
Hearing Site: Los Angeles, CA
| | $1,889,260 |
| 14-03803 | 11/23/2015 | Claimant(s): Tony Hartman
Claimant Lawyers(s): Margaret E. Peper
Respondent(s): VFG Securities.
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | |
| 13-03119 | 11/19/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Lynne C. Hermle, Trish M. Higgins
Respondent(s): Carrie Riley
Respondent Lawyers(s): Stephen S. Smith
Arbitrator(s): Steven Gourley
Hearing Site: Los Angeles, CA
| | |
| 13-01995 | 11/17/2015 | Claimant(s): Sean Edrington
Claimant Lawyers(s): Joseph R. Becerra
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Herbert Murez, Benjamin F. Breslauer, Brant Jackson Griffin
Hearing Site: Los Angeles, CA
| | |
