| 22-01670 | 08/02/2023 | Claimant(s): Peter Corrick
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Fern M. Laethem
Hearing Site: Las Vegas, NV
|  | Expungement |
| 21-01782 | 10/19/2022 | Claimant(s): Cary Shillington, Caterina Romano, Italo Romano, Stuart Wein, Cary Shillington IRAs, CM Romano Family Trust DTD 8/26/2005, Wein Schliep Trust DTD 4/20/17
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Estate of Jan Earl Haynes, Joshua Helmle
Respondent Lawyers(s): Estate of Jan Earl Haynes, Joshua Nathan Helmle
Arbitrator(s): Robert E. Jenks, Kenneth Andrew Klinko, Fern M. Laethem
Hearing Site: San Diego, CA
| | $510,000 |
| 17-02357 | 06/06/2018 | Claimant(s): Seval Oz
Claimant Lawyers(s): Seval F. Oz
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Fern M. Laethem
Hearing Site: San Francisco, CA
| | $1,592 |
| 14-02314 | 11/10/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julie L. Taylor
Respondent(s): Kenneth Winn
Respondent Lawyers(s): Kenneth Allen Winn
Arbitrator(s): Carlos Richard Mangum, Thomas D. Reese, Fern M. Laethem
Hearing Site: San Francisco, CA
| | |
| 10-03787 | 08/30/2013 | Claimant(s): Snow Jaynes, Snow Jaynes IRA, Snow E. Jaynes Living Trust 09/01/1999
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Daniel Shea
Respondent Lawyers(s): Daniel Shea
Arbitrator(s): Carlos Richard Mangum, Philip Aaron Tymon, Fern M. Laethem
Hearing Site: Los Angeles, CA
| | $442,070 |
| 11-01158 | 09/25/2012 | Claimant(s): Jamal Abdul-Kabir, Joyce Hanson
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): James N. D'Orso, Thomas D. Reese, Fern M. Laethem
Hearing Site: San Francisco, CA
| | Expungement |
| 10-02632 | 01/06/2012 | Claimant(s): Kline Enterprises.
Claimant Lawyers(s): Richard M. Layne
Respondent(s): Securities America., Thomas Goodson, William Rice, Brecek & Young Advisors.
Respondent Lawyers(s): Brandon S. Reif, Chad E. Weaver, Terrance DeWald
Arbitrator(s): Ferdinand Schoch, Alexandra M. Linden, Fern M. Laethem
Hearing Site: Los Angeles, CA
| | $0 |
| 09-05006 | 04/06/2011 | Claimant(s): John Dailey
Claimant Lawyers(s): Irwin G. Stein
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Herbert L. Brown, Jonathan H. Krotinger, Fern M. Laethem
Hearing Site: San Francisco, CA
| | Expungement |
