| 20-02143 | 11/11/2021 | Claimant(s): Branna Rose
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Gregory Heller, Steven Weinberger, HCR Wealth Advisors, Heller Capital Resources
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Joseph Alfred Davis, Constance Ellen Boukidis, Marc David Wilde
Hearing Site: Los Angeles, CA
|  | Expungement |
| 17-03112 | 10/06/2021 | Claimant(s): Delia Hauser, Hauser Non-Exempt Marital Trust 12/20/96
Claimant Lawyers(s): Delia Hauser
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Sandra L. Malek, Constance Ellen Boukidis, Raelynn Napper
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-00524 | 08/19/2021 | Claimant(s): Curtis Parry
Claimant Lawyers(s): Chelsea Masters
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 20-02034 | 07/02/2021 | Claimant(s): Shomir Mukherjee
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Erik R. Siering, Constance Ellen Boukidis, Brant Jackson Griffin
Hearing Site: Los Angeles, CA
| | |
| 20-02765 | 04/20/2021 | Claimant(s): Timothy Hassell
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Roth Capital Partners
Respondent Lawyers(s): Richard Platt
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 20-02771 | 04/16/2021 | Claimant(s): John Reilly
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Westpark Capital.
Respondent Lawyers(s): Julie E. Kamps
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 20-01822 | 03/12/2021 | Claimant(s): John Glenn
Claimant Lawyers(s): Zachary T Hayes-Macaluso
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: San Diego, CA
| | |
| 20-02108 | 11/20/2020 | Claimant(s): The Tipton L. Kiker Estate
Claimant Lawyers(s): Philip L. Vujanov
Respondent(s): Juergen Weber
Respondent Lawyers(s): Juergen Weber
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $158,000 |
| 18-04359 | 09/11/2019 | Claimant(s): Matthew Bradley
Claimant Lawyers(s): Harris Freedman
Respondent(s): Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David M. Purcell
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 15-03238 | 12/13/2018 | Claimant(s): David Caidar, David Caidar Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Elliott D. Finkel, Constance Ellen Boukidis, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | $32,710 |
