| 13-01837 | 01/02/2015 | Claimant(s): Belva Jeanne Shultz Revocable Trust, Karen K. Fry, Atty in Fact
Claimant Lawyers(s): Richard A. Nervig
Respondent(s): John Thornes, Thornes & Associates. Invest Sec
Respondent Lawyers(s): John Thomas Thornes, Stephen M. Oliveira
Arbitrator(s): Michael G. Clark, Benjamin F. Breslauer, Michael John Florio
Hearing Site: Los Angeles, CA
|  | $4,525,120 |
| 14-03546 | 12/26/2014 | Claimant(s): Joe Solarsa
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Vincent J. Natoli, Salvatore A. Sciortino, Eric Gad Forster
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-00482 | 12/22/2014 | Claimant(s): Andrea Halperin
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Trish M. Higgins
Arbitrator(s): Richard N. Friedman, June McLaughlin, Dorothy B. Strackbein
Hearing Site: Los Angeles, CA
| | |
| 14-02184 | 12/22/2014 | Claimant(s): Paul Inneo
Claimant Lawyers(s): Paul Inneo
Respondent(s): Michael Goodrich
Respondent Lawyers(s): Ian J. Frimet
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | $163 |
| 14-01769 | 12/18/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John W. Stenson
Respondent(s): Said Javidi
Respondent Lawyers(s): Said Alexander Javidi
Arbitrator(s): George L. Tindall, Salvatore A. Sciortino, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | |
| 14-01025 | 12/15/2014 | Claimant(s): Grant Gochin
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Elliott Zachary Seff, Constance Ellen Boukidis, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | |
| 13-02663 | 12/12/2014 | Claimant(s): Benjamin H Kwon, Castle Eurasia Corp
Claimant Lawyers(s): Benjamin H Kwon
Respondent(s): Bryan Snitselaar, E*Trade Securities LLC, Russell Scherrer, E*Trade Clearing LLC
Respondent Lawyers(s): John Bersin, Meredith F. Hoffman, Ryan Lean, Steve Young
Arbitrator(s): Robert D. Sussin, Neil S. Jasper, Vincent J. Natoli
Hearing Site: Los Angeles, CA
| | $0 |
| 12-00756 | 12/11/2014 | Claimant(s): Bernie Bernheim APC Retirement Trust
Claimant Lawyers(s): Nazo S. Semerdjian
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Edward J. Costello
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02659 | 12/05/2014 | Claimant(s): Christopher Barra, Luis Sampedro
Claimant Lawyers(s): R. Rogge Dunn
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): Sandra L. Malek, James Stephan Mulholland, John B. La Rue
Hearing Site: Los Angeles, CA
| | |
| 13-02405 | 12/03/2014 | Claimant(s): Beverley Scott
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): David Park
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Gerald F. Corrigan, Robin Carr, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
| | $0 |
