| 19-00379 | 11/01/2019 | Claimant(s): Christopher Adikwu
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Eric Dowell
Arbitrator(s): Marc Kalish, Mary M. O'Neil, Holly A. Hart
Hearing Site: Phoenix, AZ
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| 19-01651 | 08/14/2019 | Claimant(s): Bryan Stebel
Claimant Lawyers(s): Elizabeth A. Lowery
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeanette Dennis
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
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| 18-03736 | 04/11/2019 | Claimant(s): Ronald Valpey
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
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| 15-00086 | 01/02/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Terry E. Sanchez
Respondent(s): Michael Novick
Respondent Lawyers(s): Michael Jay Novick
Arbitrator(s): Richard Marc Weinroth, Constance Ellen Boukidis, Mary M. O'Neil
Hearing Site: Las Vegas, NV
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| 16-03488 | 11/20/2017 | Claimant(s): Jin Park
Claimant Lawyers(s): Jin Kyun Park
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Dean C. Abraham, Mary M. O'Neil, Robert Dean McKinley
Hearing Site: Las Vegas, NV
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| 15-03409 | 09/01/2017 | Claimant(s): Paul Marcus
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John L. Erikson
Arbitrator(s): Edward Banian, Michael M. Hachigian, Mary M. O'Neil
Hearing Site: Los Angeles, CA
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| 15-00146 | 06/03/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Michael Spinali
Respondent Lawyers(s): Michael Luciano Spinali
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
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| 10-05091 | 07/24/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): John Fallon
Respondent Lawyers(s): Todd C. Atkins
Arbitrator(s): Mary M. O'Neil, David L. Maislen, Anna Marie Turco
Hearing Site: Los Angeles, CA
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| 08-04981 | 10/07/2009 | Claimant(s): Carlo Carrion
Claimant Lawyers(s): Carlo A. Carrion
Respondent(s): Craig Watanabe, Donald Bizub, Jon Hogen, Western International Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Erik R. Siering, Mary M. O'Neil, David Nielsen
Hearing Site: Los Angeles, CA
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| 07-03594 | 03/03/2009 | Claimant(s): Euro Pacific Capital.
Claimant Lawyers(s): John D. Pernick
Respondent(s): Kimberly Hardaker
Respondent Lawyers(s): Byron D. Groves
Arbitrator(s): Jonathan Schwartz, Mary M. O'Neil, Kendall C. Reed
Hearing Site: Los Angeles, CA
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