| 22-02819 | 09/27/2024 | Claimant(s): Daniela Schuvaks-Katz, Robert Alan Katz
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Andrea Steiner, Western International Securities.
Respondent Lawyers(s): Andrea Steiner, Jeffrey K. Compton
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Indianapolis, IN
|  | $0 |
| 23-00796 | 01/09/2024 | Claimant(s): Daniel Beech
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Western International Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Ronald L. Cameron, Alexandra M. Linden, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 22-02235 | 07/07/2023 | Claimant(s): Andrew Kuo, Bradley Kaiser
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Western International Securities.
Respondent Lawyers(s): Donald Bizub
Arbitrator(s): Mary M. O'Neil, Kirtley M. Thiesmeyer, Sidney Kinji Kanazawa
Hearing Site: Los Angeles, CA
| | |
| 22-01303 | 05/19/2023 | Claimant(s): Kimberly Barentsen
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): First Allied Securities., NPB Financial Group
Respondent Lawyers(s): Jeremy Wooden, Shirley J. Coria
Arbitrator(s): Philip Aaron Tymon, Nancy Lynne Williamson, Wendy L Schmidt
Hearing Site: San Francisco, CA
| | |
| 21-02861 | 03/24/2023 | Claimant(s): Arnold Shvarts, Oksana Shvarts
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Bradley Kaiser, Donald Bizub, Hagop Nalbandian, Krikor Demirjian, Wendy Rea, Western International Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Robert D. Sussin, W. Alex King, Andrew W. Levin
Hearing Site: Los Angeles, CA
| | Expungement |
| 22-00187 | 03/01/2023 | Claimant(s): Janet Morris, Janet Morris on Behalf of Her IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): NPB Financial Group
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Edith N. Dinneen
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 20-03052 | 08/03/2021 | Claimant(s): Robin Taliaferro
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Vanguard Capital, Western International Securities.
Respondent Lawyers(s): Gregory Serras, Jeffrey K. Compton
Arbitrator(s): Gregory Douglas Stone
Hearing Site: Los Angeles, CA
| | |
| 20-03420 | 05/12/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Jameson Shin
Respondent Lawyers(s): Jameson Jee Won Shin
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | |
| 18-00314 | 02/25/2020 | Claimant(s): Bonwick Capital Partners
Claimant Lawyers(s): Faun M. Phillipson
Respondent(s): Boustead Securities, Network 1 Financial Securities Inc.
Respondent Lawyers(s): Gerry J. Kowalski, Jeffrey K. Compton
Arbitrator(s): Howard L. Haykin, Paul George Huck, David Spencer
Hearing Site: New York, NY
| | |
| 16-03509 | 12/08/2017 | Claimant(s): Alexander Conteh
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Cole Capital Corporation
Respondent Lawyers(s): Theodore J. Sawicki
Arbitrator(s): George L. Tindall, Carole Helfert Aragon, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
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