| 13-02924 | 05/26/2015 | Claimant(s): Margaret Smith, Margaret Farwell Smith 2007 Trust UAD 10, Margaret Farwell Smith CRUT Trust Dtd 5/
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Fera Shivaee, Centaurus Financial.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Morris S. Getzels, Owen Frances, Mark Alan Sevigny
Hearing Site: Los Angeles, CA
|  | $915,249 |
| 14-02288 | 05/22/2015 | Claimant(s): JCP Securities.
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): Jason Wright, Stephen Perry, BA Securities
Respondent Lawyers(s): Jeffrey K. Riffer, Robert J. Girard
Arbitrator(s): Michael D. Harrison, William Lee Krantz, BaoKim N. Coleman
Hearing Site: Los Angeles, CA
| | |
| 13-03734 | 05/14/2015 | Claimant(s): Stanley Behrens Living Trust dtd July 8
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Morgan Stanley, Rafael De Vengoechea, Sandra Rutan
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Barbara M. Zak, Elliott Zachary Seff, Eric Gad Forster
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-03524 | 05/11/2015 | Claimant(s): John Orcutt, UBS Financial Services Inc.
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Earl Flowers
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Elizabeth A. Copley, Steven A. Wawra, James M. Goldberg
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-02371 | 05/08/2015 | Claimant(s): Brandon Chang, Winifred Sun
Claimant Lawyers(s): Christine A. Page
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Theresa Y. Hu, Karen L. Gold, Milton N. Gross
Hearing Site: Los Angeles, CA
| | |
| 12-02073 | 05/08/2015 | Claimant(s): Anthony DeLuca, Nicolinda De Luca
Claimant Lawyers(s): Charles M. Gibbs, Daniel B. Lipson
Respondent(s): Robert Tweed
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Victoria E. Johnson, James A. Sigler, Adam Michael Porter
Hearing Site: Los Angeles, CA
| | $0 |
| 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 |
| 14-01427 | 04/29/2015 | Claimant(s): Liberatore Family Trust
Claimant Lawyers(s): Christopher L. Pitet
Respondent(s): Albert Han, GBS Financial Corp.
Respondent Lawyers(s): Albert Han, Donald Gloisten
Arbitrator(s): Mario H. Metzger, Edward A. Trabin, Joy Diane Williams
Hearing Site: Los Angeles, CA
| | $0 |
| 14-00222 | 04/28/2015 | Claimant(s): Levi Nagel
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lisa Bertain
Arbitrator(s): Christine A. Page
Hearing Site: Los Angeles, CA
| | |
| 14-01600 | 04/24/2015 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | |
