| 20-00749 | 12/29/2020 | Claimant(s): Deeann Griebel
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Stephen G. Topetzes
Arbitrator(s): Elliott Finkel, Kenneth R. Johnston, Kenneth L. Mann
Hearing Site: Phoenix, AZ
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| 19-03632 | 11/17/2020 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
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| 19-02627 | 10/28/2020 | Claimant(s): Nusheen Javadizadeh, Shapour Javadizadeh, RJJ Pasadena Securities.
Claimant Lawyers(s): Andrew B. Holmes, Lisa G. Sherman
Respondent(s): Flavia Lo Coco, James Lo Coco
Respondent Lawyers(s): Timothy Scott Vick
Arbitrator(s): Elliott Finkel, Andrea Luise Halperin, Beverly Faye White
Hearing Site: Los Angeles, CA
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| 19-00895 | 05/05/2020 | Claimant(s): Ramses Visher
Claimant Lawyers(s): Ramses David Visher
Respondent(s): AXA Advisors
Respondent Lawyers(s): Michael P. Bryant
Arbitrator(s): Elliott Finkel, Thomas R. Watkins, Elizabeth June Fehmel
Hearing Site: Los Angeles, CA
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| 19-02765 | 04/16/2020 | Claimant(s): Justin Pearce
Claimant Lawyers(s): Joshua Norton
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Scott R. Koch
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
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| 19-00810 | 02/25/2020 | Claimant(s): David Hunt
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
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| 19-03415 | 02/20/2020 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Jason Allen
Respondent Lawyers(s): Jason Michael Allen
Arbitrator(s): Elliott Finkel
Hearing Site: Las Vegas, NV
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| 19-01467 | 11/29/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N Will
Respondent(s): Craig Micklich
Respondent Lawyers(s): Craig William Micklich
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
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| 19-00163 | 10/17/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
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| 19-00975 | 08/20/2019 | Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Amanda Sotak
Respondent(s): Anthony Costanzo
Respondent Lawyers(s): Anthony L. Costanzo
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
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