| 19-00515 | 10/10/2019 | Claimant(s): Steven Henningson
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 18-01773 | 01/14/2019 | Claimant(s): Troy Tremblay
Claimant Lawyers(s): Bentley P. Stansbury
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael Leahy
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 18-01153 | 12/13/2018 | Claimant(s): Kurt Jackson
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 18-00783 | 09/21/2018 | Claimant(s): Jodi Selleck
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael Leahy
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 17-02359 | 05/08/2018 | Claimant(s): Ralph Slocum
Claimant Lawyers(s): Armin Sarabi
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Hillary A. Darnell
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 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
| | |
| 16-02347 | 06/22/2017 | Claimant(s): Jane An
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 15-02144 | 05/26/2016 | Claimant(s): Marc Seward
Claimant Lawyers(s): Vincent D. Slavens
Respondent(s): Securities America.
Respondent Lawyers(s): Sabryne Coleman
Arbitrator(s): Robert A. Lakosil, George L. Tindall, Randy R. Maher
Hearing Site: San Diego, CA
| | |
| 12-02414 | 12/02/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Daren A. Luma, Mauricio Beugelmans
Respondent(s): Matthew Celenza
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): George L. Tindall, Ronald F. Rybandt, Gregory Douglas Stone
Hearing Site: Los Angeles, CA
| | |
| 14-01769 | 12/18/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John W. Stenson
Respondent(s): Said Javidi
Respondent Lawyers(s): Said Alexander Javidi
Arbitrator(s): George L. Tindall, Salvatore A. Sciortino, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | |
