| 17-02070 | 07/03/2018 | Claimant(s): Jenny Chu, Kenneth Jo
Claimant Lawyers(s): Sylvia M Scott
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Erin Weesner-McKinley
Arbitrator(s): John Alen DeRosa, Michael M. Hachigian, Robert Ronne
Hearing Site: Los Angeles, CA
| | |
| 14-01674 | 12/20/2016 | Claimant(s): George Kezios
Claimant Lawyers(s): Stephen J. Thomas
Respondent(s): Wells Fargo Advisors, Gregory Chachas
Respondent Lawyers(s): Judy Louie
Arbitrator(s): John Alen DeRosa, Michael D. Harrison, Joseph Winter
Hearing Site: Los Angeles, CA
|  | Expungement |
| 09-04371 | 03/28/2012 | Claimant(s): Kelly Dunne
Claimant Lawyers(s): Charles W. Brower
Respondent(s): Russell Ruffino, Ruffino & Associates., Transamerica Financial Advisors.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Sandra L. Malek, John Alen DeRosa, David L. Maislen
Hearing Site: Los Angeles, CA
| | $0 |
| 10-01545 | 11/02/2011 | Claimant(s): Glenna Maguire, Glenna L. Maguire Trust UTD 7/26/07
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): Wedbush Securities Inc., George Dahl
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): John Alen DeRosa, Robert E. Lawson, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $12,500 |
| 10-05023 | 09/19/2011 | Claimant(s): Darrell Huston
Claimant Lawyers(s): William F. Davis
Respondent(s): Valentino Scott, Centaurus Financial.
Respondent Lawyers(s): Dave Lenny
Arbitrator(s): Barbara M. Zak, John Alen DeRosa, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $42,477 |
| 07-03630 | 01/07/2010 | Claimant(s): Ronald Ostlund
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Joseph Sorbara, Linda Chudnoff, Peter Orthos, Steven Markowitz, Joseph Stevens & Company.
Respondent Lawyers(s): Joseph Sorbara, Linda E. Chudnoff, Peter C. Orthos, Steven A. Markowitz
Arbitrator(s): Martin Mandel, John Alen DeRosa, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $220,000 |
