| 16-00086 | 02/16/2018 | Claimant(s): Rake Murray
Claimant Lawyers(s): Eric Walraven
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Mitchell J. Albert
Arbitrator(s): Joseph C. Watson, Jill Switzer, Howard Clark Posner
Hearing Site: Los Angeles, CA
| | |
| 15-03218 | 01/20/2017 | Claimant(s): Ann Vazzana, Bruce Vazzana, Vazzana Underground Construction, Vazzana Family Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Newport Coast Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Joseph C. Watson, Owen Frances, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
|  | Expungement |
| 16-02635 | 12/07/2016 | Claimant(s): David Corbett, Dennis Rosene, Donald Adams, Ekeanor Reed, Elsa Rosene, Gail Fortune, Gerald Berend, Loretta Mak, Mary Wokciechowski, Stan Wojciechowski, Suvawinds., Crost Imports Inc., A.C. Family Limited Partnership
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Rory Hartley
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Morris S. Getzels, Joseph C. Watson, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-02636 | 12/07/2016 | Claimant(s): David Corbett, Dennis Rosene, Donald Adams, Eleanor Reed, Elsa Rosene, Gail Fortune, Gerald Berend, Loretta Mak, Mary Wojciechowski, Stan Wojciechowski, Crost Imports Inc., Suvawinds, A.C. Family Limited Partnership
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Leanne Walsh
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Morris S. Getzels, Joseph C. Watson, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-03238 | 06/14/2016 | Claimant(s): Jeffrey Bell
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John L. Erikson
Arbitrator(s): Joseph C. Watson, Richard William DeWeese, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | |
| 14-02184 | 12/22/2014 | Claimant(s): Paul Inneo
Claimant Lawyers(s): Paul Inneo
Respondent(s): Michael Goodrich
Respondent Lawyers(s): Ian J. Frimet
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | $163 |
| 10-04465 | 07/02/2014 | Claimant(s): Daniel Becerra
Claimant Lawyers(s): S. Adam Spiewak
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Jodi S. Cohen
Arbitrator(s): Basil Lewis, Richard J. Stall, Joseph C. Watson
Hearing Site: Los Angeles, CA
| | |
| 13-03406 | 05/20/2014 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Health Solutions
Respondent Lawyers(s): Glen Rocklin
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-02392 | 02/13/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael L. Carp
Respondent(s): Jose Carbajal
Respondent Lawyers(s): Jose A. Carbajal
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | |
| 12-01093 | 05/08/2013 | Claimant(s): Stephen Picarello
Claimant Lawyers(s): Elizabeth Kramer
Respondent(s): Citigroup Global Markets., Lauro Reyes
Respondent Lawyers(s): Alex J. Rosenthal
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | $17,680 |
