| 19-02274 | 10/05/2021 | Claimant(s): Hanala Sagal
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Nancy G. Harris, Thomas R. Watkins, Robert C. Albini
Hearing Site: Los Angeles, CA
|  | $355,865 |
| 19-03549 | 04/17/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Michael Garris
Respondent Lawyers(s): Michael David Garris
Arbitrator(s): Nancy G. Harris
Hearing Site: Los Angeles, CA
| | |
| 18-03422 | 08/05/2019 | Claimant(s): Brian Parker
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): United Planners' Financial Services Of A
Respondent Lawyers(s): David B. Hauer
Arbitrator(s): Nancy G. Harris
Hearing Site: Los Angeles, CA
| | |
| 14-03166 | 04/11/2017 | Claimant(s): Jaleh Miller
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Steven A. Wawra, Nancy G. Harris, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-01121 | 09/09/2015 | Claimant(s): Joseph Mizrahi, Joseph S. Mizrahi Trust DTD 06/04/1996
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Nancy G. Harris
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04821 | 11/21/2012 | Claimant(s): James Leiphardt, Peggy Leiphardt
Claimant Lawyers(s): Eric A. Woosley
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kamao C. Shaw
Arbitrator(s): Nancy G. Harris
Hearing Site: Los Angeles, CA
| | $50,000 |
| 09-06807 | 09/24/2012 | Claimant(s): Richard Barrett
Claimant Lawyers(s): Patrick Baldwin
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Dorothy B. Strackbein, Nancy G. Harris, Daniel David Kopman
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-03596 | 04/25/2012 | Claimant(s): Michael Shimon, Regina Shimon
Claimant Lawyers(s): Michael F. Shimon, Regina Ralene Shimon
Respondent(s): Craig Rumbaugh
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Nancy G. Harris
Hearing Site: Los Angeles, CA
| | $1,450 |
