| 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 |
| 14-02764 | 04/16/2015 | Claimant(s): Gurgen Bagdasarian
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Ralph B. Perry
Hearing Site: Los Angeles, CA
| | $0 |
| 13-03600 | 04/15/2015 | Claimant(s): Gloria Ruiz, Roberto Ruiz
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Maurice Chelliah, Evolve Securities.
Respondent Lawyers(s): Jason E. Brown, Maurice Joseph Chelliah
Arbitrator(s): Howard A. Emirhanian, Michael D. Harrison, David K. Slay
Hearing Site: Los Angeles, CA
| | $60,000 |
| 14-02937 | 04/02/2015 | Claimant(s): Refael Shaoulian
Claimant Lawyers(s): Rafael Shaoulian
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Mark S. Priver
Hearing Site: Los Angeles, CA
| | $0 |
| 13-03650 | 03/31/2015 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Kelli Hartsook
Respondent(s): Tiffany Peacock-Asakawa
Respondent Lawyers(s): Tiffany Danielle Peacock-Asakawa
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
| | |
| 14-02550 | 03/30/2015 | Claimant(s): Arthur Cooper, David Mcmanus
Claimant Lawyers(s): Elaine M. Rice, George L. Guerra
Respondent(s): Securities America.
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Helen Marinak Blohm, Laurel Littman Gothelf, Cynthia B. Stone
Hearing Site: Los Angeles, CA
| | |
| 13-02888 | 03/25/2015 | Claimant(s): Leslie Kraynak, Robert Kraynak, Leslie A. Kraynak IRA, Robert C. Kraynak IRA
Claimant Lawyers(s): T. John Kirk
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Mark S. Priver, Steven A. Wawra, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $0 |
| 14-03355 | 03/20/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Dennis Ayre
Respondent Lawyers(s): Dennis Phillip Ayre
Arbitrator(s): Steven Gourley
Hearing Site: Los Angeles, CA
| | |
| 13-01024 | 03/19/2015 | Claimant(s): Reuben Vollmer
Claimant Lawyers(s): Christopher Mader
Respondent(s): Aaron Maurer, Norman Price, Ronald Robertson, RP Capital LLC., Strategic Capital Group
Respondent Lawyers(s): Christine E. Tavares, William E. Fitzharris
Arbitrator(s): Larry Edmonson, Mark S. Priver, Richard A. Stephens
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-01780 | 03/19/2015 | Claimant(s): Doyn Simpson
Claimant Lawyers(s): Doyn W. Simpson
Respondent(s): Christopher Ariola, James Williams
Respondent Lawyers(s): Christopher B. Ariola, James Williams
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | $0 |
