| 22-01845 | 11/16/2023 | Claimant(s): Xudong Cheng
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Hannah B. Shanks-Parkin
Arbitrator(s): Kenneth E. Owen, Mark Alan Sevigny, Caryl Elyse Winter
Hearing Site: Los Angeles, CA
|  | $0 |
| 22-00521 | 10/26/2023 | Claimant(s): Mary Ann Miller, Estate of Angeline Cagliola
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): David M. Snyder, Kenneth R. Starr, Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | Expungement |
| 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 |
| 20-00690 | 05/05/2022 | Claimant(s): Richard McCollam
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): John J. Flynn, William W. Haskell, Douglas J. Pavese
Hearing Site: San Francisco, CA
| | |
| 18-00613 | 02/27/2020 | Claimant(s): Lyle LaMothe
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Mary Lou McGanney, Terrance J. Nolan, Michael J. Fleming
Hearing Site: New York, NY
| | Dismissed by Rule 12206/12504 |
| 19-01319 | 02/05/2020 | Claimant(s): Steven Moreno
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): John E. Ohashi, Jack R. Goetz, Adam Michael Porter
Hearing Site: Los Angeles, CA
| | |
| 19-01320 | 01/29/2020 | Claimant(s): Christina Billington as S. Trustee
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jaqueline R. Meyers
Arbitrator(s): Theodore E. Danciart, Olivia J. Valentine, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
| 18-01899 | 08/28/2019 | Claimant(s): James Porz
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Harvey Barrison, Philip J De Bellis, Patricia Kathleen Costello
Hearing Site: New York, NY
| | Dismissed by Rule 12206/12504 |
| 17-02146 | 08/06/2019 | Claimant(s): Richard McCollam
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Mary Price
Respondent Lawyers(s): Mary Kathryne Price
Arbitrator(s): Frank R Weaver, Peter H. Daly, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | Expungement |
| 17-02598 | 04/09/2019 | Claimant(s): Steven Moreno
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): T. Peter R. Pound
Arbitrator(s): Thomas E. Shuck, Lori A. Coleman, Steven H. Gentry
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
