| 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 |
| 13-02381 | 02/20/2015 | Claimant(s): David Rose, Joanna Speed, Lawrence Rose, Clare Rose Trust, Zaillian Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): John E. Ohashi, June McLaughlin, Janice A. Salter
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-00947 | 04/02/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John Erikson
Respondent(s): Bambi Holzer
Respondent Lawyers(s): Rex Julian Beaber
Arbitrator(s): Anita Rae Shapiro, Janice A. Salter, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | |
| 11-04329 | 08/21/2013 | Claimant(s): Juliet Feinberg, Larry Feinberg
Claimant Lawyers(s): Edward Gartenberg
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michael R. Mitchell, Mario H. Metzger, Janice A. Salter
Hearing Site: Los Angeles, CA
| | $0 |
| 11-04735 | 01/31/2013 | Claimant(s): Flora Tisherman, Sanford Tisherman, Flora J. Tisherman IRA, Sanford A. Tisherman IRA
Claimant Lawyers(s): Glenn J. Campbell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch & Co..
Respondent Lawyers(s): Spencer S. Persson
Arbitrator(s): Daniel David Kopman, Janice A. Salter, Stephen Laughlin Eddy
Hearing Site: Los Angeles, CA
| | $300 |
| 09-07101 | 07/15/2011 | Claimant(s): Pamela Brown, The Brown Revocable Living Trust
Claimant Lawyers(s): Daniel W. Dunbar
Respondent(s): Wells Fargo Investments, Patrick Vance
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Elliott Zachary Seff, Sharon Bruno, Janice A. Salter
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-02704 | 12/22/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Mark Robles
Respondent Lawyers(s): Mark J. Robles
Arbitrator(s): Erik R. Siering, Janice A. Salter, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | |
| 05-01153 | 08/24/2007 | Claimant(s): Burke Dambly, Cindy Chiu, Corbin Thomas, James Walsh, Linda Bak, Robert Horning, Troy Thomas
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Michael Upton, Direct Capital Securities., MCL Financial Group., Upton Financial Services.
Respondent Lawyers(s): Clay Womack, Theodore Peters
Arbitrator(s): Barbara M. Zak, Dorothy B. Strackbein, Janice A. Salter
Hearing Site: Los Angeles, CA
| | |
