| 15-00963 | 11/22/2016 | Claimant(s): Carl Alexen, Kristy Crouch, Louis Morales, Luis Mendez, Marianne Kuzneski, Martha Phillips, Mary Steele, Michel Sanner, Mildred Jazmin, Mitsi Yoss, Phyllis Kuo, Sonia Johnson, Suzette Cohen, Timothy Wassil, Verna Papotta, Wesley Kuo, William Kuzneski, Christel Vincth IRA, Martha Phillips IRA, Ronald Turner IRA, et al
Claimant Lawyers(s): Adam J. Gana, Adam J. Weinstein, Daniel Gwertzman
Respondent(s): Wilson-Davis & Company.
Respondent Lawyers(s): Mark O. Van Wagoner
Arbitrator(s): Kenneth E. Owen, Eric Gad Forster, Daniel James Yee
Hearing Site: Los Angeles, CA
|  | $99,441 |
| 15-02476 | 09/23/2016 | Claimant(s): Patricia White, William White, The White Living Trust Dated 3/14/1989
Claimant Lawyers(s): David Harrison
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Kendra Canape
Arbitrator(s): Kenneth E. Owen, Joseph Francis Young, Loyd A Wright
Hearing Site: Los Angeles, CA
| | $0 |
| 14-02296 | 05/24/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Christian Wenger
Respondent Lawyers(s): Christian Sinclair Wenger
Arbitrator(s): Kenneth E. Owen
Hearing Site: Los Angeles, CA
| | |
| 13-02368 | 09/19/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Raymond Calderon
Respondent Lawyers(s): Raymond Calderon
Arbitrator(s): Kenneth E. Owen
Hearing Site: Los Angeles, CA
| | |
| 12-03816 | 09/16/2014 | Claimant(s): Harold Palacios
Claimant Lawyers(s): Harold Palacios
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Theresa M. Marchlewski
Arbitrator(s): Blaine Smith, Mark S. Priver, Kenneth E. Owen
Hearing Site: Los Angeles, CA
| | |
| 12-03959 | 09/05/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Tony Roberts, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern, Tony Roberts
Arbitrator(s): Kenneth E. Owen
Hearing Site: Los Angeles, CA
| | $0 |
| 13-01387 | 08/19/2014 | Claimant(s): Daniel Cohen, Daniel L. Cohen 1980 Irrevocable Trust
Claimant Lawyers(s): James L. Parks, Thomas J. Meagher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Eric A. Herzog, Michael G. Shannon, Trae D. Meyr
Arbitrator(s): Kenneth E. Owen, W. Alex King, Peggy Jane Fisher
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12504 |
| 13-00785 | 06/09/2014 | Claimant(s): Jeanette Brown, Lowell Brown
Claimant Lawyers(s): Jeanette S. Brown
Respondent(s): Aurielle Nelsen, Donald Davis, Elisabeth Kratka, Joseph Gilbert, Morgan Stanley, Nathan Dilts, Robert Perry, Stephen Suzuki, Steven Easler, Tammy D'Agostino
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): Kenneth E. Owen, Gerald F. Corrigan, David Paul Beauvais
Hearing Site: Los Angeles, CA
| | $4,430 |
| 12-00146 | 11/14/2013 | Claimant(s): James Kaczmarek, John Hall, Mary Kaczmarek
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Andrew HorowitzL Financial LLC, Scott Doll, Doll Capital Advisors, The Estate Management Group.
Respondent Lawyers(s): David Markun, Ryan Gustafson
Arbitrator(s): Martin Olinick, Kenneth E. Owen, Neil S. Jasper
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-02510 | 01/08/2013 | Claimant(s): Keith Miller, Keith D. Miller IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Anthony Salino, Joseph Degregorio, Lynn Schultz, Ron Ison, Roy Cohen, Mercer Capital Ltd.
Respondent Lawyers(s): Anthony John Salino, David Schrader, Lynn Gordon Schultz, Ron Jason Ison, Roy Cohen
Arbitrator(s): Herbert Murez, Kenneth E. Owen, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
| | $90,000 |
