| 21-01864 | 12/19/2022 | Claimant(s): Susan Hebert, on Behalf of IRA
Claimant Lawyers(s): Susan Hebert
Respondent(s): LPL Financial LLC, Howard Romero
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Robert D. Sussin, Theodore G. Bradpiece, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
|  | Expungement |
| 22-00023 | 09/22/2022 | Claimant(s): Trawnegan Gall
Claimant Lawyers(s): Zachary Morse
Respondent(s): Sandlapper Securities
Respondent Lawyers(s): Trevor Gordon
Arbitrator(s): Nicholas J. Caputo, Benjamin F. Breslauer, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
| | |
| 22-00416 | 09/15/2022 | Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William H. Badinelli
Arbitrator(s): Erik R. Siering, Noel Harvey Applebaum, Daniel Farid Yasharel
Hearing Site: Los Angeles, CA
| | |
| 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 |
| 18-01221 | 04/26/2019 | Claimant(s): Andrew Bolous
Claimant Lawyers(s): Andrew Rafat Bolous
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey A. Wortman
Arbitrator(s): Edward A. Trabin, Noel Harvey Applebaum, Joanne Park
Hearing Site: Los Angeles, CA
| | |
| 17-01678 | 03/14/2019 | Claimant(s): C.Billington S.T. for J.Billington Trust
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): P. Burke Esq.
Arbitrator(s): Anita Rae Shapiro, Noel Harvey Applebaum, Steven H. Gentry
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 17-02047 | 05/16/2018 | Claimant(s): Benel Inc
Claimant Lawyers(s): Rone Oren
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Sandra L. Malek, Milton N. Gross, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12504 |
| 16-02038 | 01/23/2018 | Claimant(s): David Harter
Claimant Lawyers(s): David Neuman
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Kenneth E. Owen, Noel Harvey Applebaum, Joseph Francis Young
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-03509 | 12/08/2017 | Claimant(s): Alexander Conteh
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Cole Capital Corporation
Respondent Lawyers(s): Theodore J. Sawicki
Arbitrator(s): George L. Tindall, Carole Helfert Aragon, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
| | |
| 15-02670 | 08/22/2016 | Claimant(s): Sean Hunter
Claimant Lawyers(s): Sean S Hunter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janell M. Ahnert
Arbitrator(s): Herbert Leslie Greenberg, Anthony D. DeToro, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
| | |
