| 21-01512 | 07/01/2022 | Claimant(s): Mitchell Dehler, Sadhna Dehler, Mitchell Dehler SEP IRA, Sadhna Dehler Roth IRA
Claimant Lawyers(s): Adam J. Gana
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Susan B. Gans-Smith, Gerald Anthony Pokorski, Aaron Nathan Shechet
Hearing Site: Los Angeles, CA
|  | Expungement |
| 20-04029 | 09/01/2021 | Claimant(s): Martin Danial
Claimant Lawyers(s): Martin M Danial
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Kenneth E. Owen, Susan B. Gans-Smith, Owen Frances
Hearing Site: Los Angeles, CA
| | $0 |
| 20-02633 | 07/02/2021 | Claimant(s): Brian Vosberg
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Bryan Gless
Arbitrator(s): Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | |
| 19-02998 | 10/14/2020 | Claimant(s): Teresa Valdez, Teresa Valdez IRA
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Alan Stamm, Susan B. Gans-Smith, Daniel A. Seiver
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
| 19-01405 | 05/28/2020 | Claimant(s): The Seitz 2000 Descendants Trust
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Robert Fenton, Centaurus Financial.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Susan B. Gans-Smith, Noel Harvey Applebaum, Loyd A Wright
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
| 19-00677 | 12/20/2019 | Claimant(s): Deborah Alliano
Claimant Lawyers(s): Deborah A. Alliano
Respondent(s): Kelley Slaught
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | $0 |
| 16-01710 | 03/15/2019 | Claimant(s): Seth Radow
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Susan B. Gans-Smith, Marc S. Joseph, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | |
| 16-01370 | 09/05/2017 | Claimant(s): France Pollack, France Pollack Rollover IRA, The F/T Barry Pollack Trust Profit Shari
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John S. Worden
Arbitrator(s): Richard J. Stall, Susan B. Gans-Smith, Peter D. Steinbroner
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
| | |
| 14-01044 | 08/04/2016 | Claimant(s): Kenneth Blumenfeld
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Jeffrey E. Skogsbergh, Susan B. Gans-Smith, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
| | |
