| 19-01459 | 07/15/2021 | Claimant(s): PGPG LLC
Claimant Lawyers(s): Jeffrey N. Goldberg
Respondent(s): Charles Schwab & Co.., Charles Schwab Futures.
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Olivia J. Valentine, Michael R. Diliberto, Brenda Lee James
Hearing Site: Los Angeles, CA
|  | Expungement |
| 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
| | |
| 16-00039 | 08/18/2017 | Claimant(s): Joseph Focil
Claimant Lawyers(s): Augusto Focil
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): David J. Anderson, Mario H. Metzger, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | |
| 15-01676 | 09/12/2016 | Claimant(s): Jeffrey Ball, Jeffrey D. Ball IRA
Claimant Lawyers(s): Philip M. Aidikoff, Ryan K. Bakhtiari
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Ronald L. Cameron, Constance Ellen Boukidis, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | $262,354 |
| 14-01142 | 10/23/2015 | Claimant(s): Eugene Elliott, Shawn Elliott, Genraza LLC, The Elliott Family Trust DTD 9-17-86
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): Arthur T. Berggren, Janice A. Salter, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | $1,188,850 |
| 12-01971 | 02/21/2014 | Claimant(s): Christopher Murphy, Chris's Stuff 401K Profit Sharing Plan, Chris's Stuff Inc. Defined Benefit, Christopher J. Murphy Revocable Trust
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Constance Ellen Boukidis, Michael R. Diliberto, Allen Edward Wisniewski
Hearing Site: Los Angeles, CA
| | $600 |
| 11-04495 | 11/19/2013 | Claimant(s): Mark Myden, L.A. Sports Productions Inc.
Claimant Lawyers(s): Marc X. LoPresti
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments, Nicholas Corso
Respondent Lawyers(s): Jay M. Spillane, Thomas F. Kopshever
Arbitrator(s): James Warren Hill, Ralph B. Perry, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-03699 | 04/04/2012 | Claimant(s): Vinita Wadhwani, Vishin Wadhwani
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Wendy Robinson
Arbitrator(s): Kirtley M. Thiesmeyer, Owen Frances, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
