| 17-01319 | 01/04/2019 | Claimant(s): Altenhofen Revocable Trust
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Barbara M. Zak, Jeffrey E. Skogsbergh, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
|  | Expungement |
| 18-01318 | 12/28/2018 | Claimant(s): Adam Goldstein
Claimant Lawyers(s): Chad Weaver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Barbara M. Zak
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 |
| 15-01474 | 11/21/2016 | Claimant(s): Walid Shinnawi
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): DFA Securities LLC, Dimensional Fund Advisors.
Respondent Lawyers(s): Laura Shelby
Arbitrator(s): Barbara M. Zak, James A. Sigler, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | |
| 15-02023 | 10/19/2016 | Claimant(s): Mohamed Ahmed, Mohamed Ahmed IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): Barbara M. Zak, Morris S. Getzels, Robert B. Hansohn
Hearing Site: Las Vegas, NV
| | Expungement |
| 14-02982 | 09/27/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jennifer L. Tomsen, Tracy L. Gerber
Respondent(s): Audra Lalley
Respondent Lawyers(s): Michael A. Thurman
Arbitrator(s): Barbara M. Zak, Annette Gres Shepherd, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | |
| 13-03734 | 05/14/2015 | Claimant(s): Stanley Behrens Living Trust dtd July 8
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Morgan Stanley, Rafael De Vengoechea, Sandra Rutan
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Barbara M. Zak, Elliott Zachary Seff, Eric Gad Forster
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02801 | 07/24/2014 | Claimant(s): Byron Crawford
Claimant Lawyers(s): George S. Trevor
Respondent(s): Robert Gordon, Twenty-First Securities Corporation
Respondent Lawyers(s): Daniel Gildin
Arbitrator(s): Alan Stamm, Barbara M. Zak, David Zollman
Hearing Site: Los Angeles, CA
| | $0 |
| 11-04684 | 07/09/2013 | Claimant(s): NNN Las Colinas Highlands 15, Morse-Huey Revocable Trust dated 5/10/05
Claimant Lawyers(s): David Liebrader
Respondent(s): Allen Minassian, Eric Babaian
Respondent Lawyers(s): Jeffrey Compton
Arbitrator(s): Barbara M. Zak, Anita Rae Shapiro, Peter J Cohen
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-00027 | 03/08/2013 | Claimant(s): Bette Kelly, Bette J. Kelly Trust
Claimant Lawyers(s): Steven B. Lehat
Respondent(s): Lance Marcus, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Barbara M. Zak, Chester L. Firestein, Robin Carr
Hearing Site: Los Angeles, CA
| | Expungement |
