| 19-02974 | 12/23/2021 | Claimant(s): Douglas Prezzano, Eric Miller, Heinz Jaeggi, Roger Wacker, Stefan Lendi, Steven Soja, Stewart Bosley
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Dennis S. Ellis
Arbitrator(s): Barbara M. Zak, Marc S. Joseph, Cynthia Cashman Makin
Hearing Site: Los Angeles, CA
| | |
| 21-00167 | 05/06/2021 | Claimant(s): Honey Badger Investment Securities
Claimant Lawyers(s): Joseph J. Lee
Respondent(s): Oak Ridge Financial Services Group.
Respondent Lawyers(s): Philip T. Colton
Arbitrator(s): Marc S. Joseph
Hearing Site: Los Angeles, CA
| | |
| 17-00237 | 08/06/2020 | Claimant(s): J.P. Morgan Securities
Claimant Lawyers(s): Eugene Small
Respondent(s): John Uriostegui, Rod Nakamoto
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Ronald L. Cameron, Michael M. Hachigian, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | |
| 16-01710 | 03/15/2019 | Claimant(s): Seth Radow
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Susan B. Gans-Smith, Marc S. Joseph, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | |
| 17-00175 | 10/22/2018 | Claimant(s): Helena Galatolo, Susan Protzel, The Susan J. Protzel Trust U/A DTD 07/20
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Rachel Weitzman
Arbitrator(s): Barbara M. Zak, Gary Timothy Haight, Marc S. Joseph
Hearing Site: Los Angeles, CA
|  | $0 |
| 09-02387 | 12/12/2011 | Claimant(s): Ellen Foster
Claimant Lawyers(s): Leonard Steiner
Respondent(s): Matthew Jennings, Thomas Savino, Wayne Leffler
Respondent Lawyers(s): John P. Girarde, Thomas Walter Savino
Arbitrator(s): Jerry Ellner, Robert Elman, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 08-03023 | 11/12/2010 | Claimant(s): Edgar Clark, Edgar T. Clark Charles Schwab & Co Inc.
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Elizabeth A. Copley, David Nielsen, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | Expungement |
| 08-03629 | 08/23/2010 | Claimant(s): Bleifer Family Trust dtd 3/25/1999, Pompan Family Trust u/a/d 4/4/98, The Nickie Lee Silk 2004 Trust, The Nickie Lee Silk Declaration Trust
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth L. Lindh
Arbitrator(s): Larry Edmonson, Morris S. Getzels, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | $2,024,000 |
| 09-00822 | 06/22/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Steven Pompan
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Richard J. Stall, Marc S. Joseph, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | |
| 08-00944 | 01/11/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Sue Lee
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): Audrey H. Ruben, James S. Carlson, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | |
