| 23-02871 | 10/23/2024 | Claimant(s): Andrew Stout
Claimant Lawyers(s): Peter Lindholm
Respondent(s): WAMU Investments., UBS Financial Services Inc., Citicorp Investment Services
Respondent Lawyers(s): Adam Kaufforate Officer, John Murphy
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 23-01249 | 07/15/2024 | Claimant(s): Eric Silvestre
Claimant Lawyers(s): Harris Freedman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 23-02358 | 04/08/2024 | Claimant(s): Jonathan French
Claimant Lawyers(s): Zack Knoblock
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Darol K. Paulsen
Arbitrator(s): Constance Ellen Boukidis, Kirtley M. Thiesmeyer, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
| | |
| 23-01402 | 11/06/2023 | Claimant(s): Loreen Gilbert
Claimant Lawyers(s): Bryce M Cullinane
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Michael West
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 22-02597 | 07/14/2023 | Claimant(s): Hemant Kathuria
Claimant Lawyers(s): Kurt Kalberer
Respondent(s): A.G.P. / Alliance Global Partners
Respondent Lawyers(s): John Venezia
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 22-01470 | 05/10/2023 | Claimant(s): Jordan Varela
Claimant Lawyers(s): Daniel J. Donovan
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: San Diego, CA
| | |
| 21-01427 | 10/13/2022 | Claimant(s): Nancy Flaherty
Claimant Lawyers(s): Ryan Gustafson
Respondent(s): LPL Financial LLC, Shawn Hochuli
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Victoria E Johnson, Constance Ellen Boukidis, Barry D. Kaye
Hearing Site: Los Angeles, CA
|  | $0 |
| 21-02891 | 08/09/2022 | Claimant(s): Aric Zamel
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Constance Ellen Boukidis, Lorraine Woodwark, Gecole L. Harley
Hearing Site: Los Angeles, CA
| | |
| 20-01099 | 06/16/2022 | Claimant(s): Vlhaka L.P.
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Alan M. Rosen, Constance Ellen Boukidis, David K. Slay
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-00242 | 12/17/2021 | Claimant(s): Louis Wendruck
Claimant Lawyers(s): Marc Zussman
Respondent(s): Robert Souza, Gamble Jones Investment Counsel
Respondent Lawyers(s): Robert Ericson
Arbitrator(s): Constance Ellen Boukidis, Andrew Levy, Alma Rene Holland
Hearing Site: Los Angeles, CA
| | $208,892 |
