| 20-02829 | 12/30/2020 | Claimant(s): Angela Roessel
Claimant Lawyers(s): Angela S. Roessel
Respondent(s): Joseph Schirripa, UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
|  | $0 |
| 14-02185 | 02/21/2019 | Claimant(s): Amir Hemmat, Christine Hirata, Clyde Hirata, Kyle Jung, Leon Mezistrano, Selma Hemmat, Sylvia Mezistrano, SY&L, Larry Jung, as Trustee of the Robert and
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): WMS Financial Planners.
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Elizabeth Anne Moreno, John W. Garman, Peter J Cohen
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-01161 | 03/22/2016 | Claimant(s): Elizabeth Canino, Eugene Canino, Eugene Canino Trust
Claimant Lawyers(s): Leonard Steiner
Respondent(s): Harold McNaughton, Sagepoint Financial.
Respondent Lawyers(s): Amir Tadjedin, Elizabeth Poletti
Arbitrator(s): Susan B. Gans-Smith, Elizabeth Anne Moreno, W. Scott Bowersock
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 14-00333 | 10/30/2014 | Claimant(s): William Garnett
Claimant Lawyers(s): William J. Garnett
Respondent(s): David Moore, Stephen Smith, Clean Energy Capital Securities LLC
Respondent Lawyers(s): David M. Moore
Arbitrator(s): Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
| | |
| 10-04296 | 12/23/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Bryan Clark
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
| | |
| 06-05202 | 03/06/2008 | Claimant(s): David Hubert
Claimant Lawyers(s): Fred Rucker
Respondent(s): Donald Kellen, J.P. Morgan Securities
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): Edwin C. Shiver, Ivan Claman, Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
| | $0 |
