| 22-00525 | 01/24/2023 | Claimant(s): John Zhang
Claimant Lawyers(s): Zachary Morse
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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| 22-00805 | 01/23/2023 | Claimant(s): Steven Rose
Claimant Lawyers(s): Jeffrey Thomas
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Laurel Littman Gothelf, Bradley C. Mitchell, Clifford A. Threlkeld
Hearing Site: Reno, NV
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| 21-02526 | 05/27/2022 | Claimant(s): David Kimura
Claimant Lawyers(s): Zachary Morse
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Honolulu, HI
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| 19-01619 | 05/26/2022 | Claimant(s): Daniella Rand
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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| 21-01373 | 02/25/2022 | Claimant(s): Ruben Tarkhanyan
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Assetmark Brokerage
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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| 21-01353 | 02/03/2022 | Claimant(s): Ivan Cen
Claimant Lawyers(s): Christina Z. Vourakis
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Laurel Littman Gothelf, Jeffrey Schubert, Brian Kimball
Hearing Site: San Francisco, CA
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| 21-00826 | 11/22/2021 | Claimant(s): Kenneth Bowers
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): The Prudential Insurance Co of America
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Albuquerque, NM
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| 20-02646 | 06/30/2021 | Claimant(s): Ying Zhang
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Patrick Mulligan
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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| 20-01591 | 04/07/2021 | Claimant(s): Richard Baer
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Lefcourt Financial Group.
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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| 20-02699 | 03/26/2021 | Claimant(s): David Brown
Claimant Lawyers(s): Chelsea Masters
Respondent(s): LPL Financial LLC, Park Avenue Securities LLC
Respondent Lawyers(s): Kristin Wynne, Sara B. Davis
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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