| 20-01969 | 08/18/2021 | Claimant(s): David Dubin
Claimant Lawyers(s): David Harrison
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
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| 20-03052 | 08/03/2021 | Claimant(s): Robin Taliaferro
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Vanguard Capital, Western International Securities.
Respondent Lawyers(s): Gregory Serras, Jeffrey K. Compton
Arbitrator(s): Gregory Douglas Stone
Hearing Site: Los Angeles, CA
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| 21-00057 | 08/03/2021 | Claimant(s): Gary Rosen
Claimant Lawyers(s): Robert L Gonser
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeffrey S. Jacobi
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
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| 20-02928 | 07/30/2021 | Claimant(s): Daniel Avan
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
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| 20-03011 | 07/06/2021 | Claimant(s): Brice Redmond
Claimant Lawyers(s): Erika C. Binnix
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
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| 20-02034 | 07/02/2021 | Claimant(s): Shomir Mukherjee
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Erik R. Siering, Constance Ellen Boukidis, Brant Jackson Griffin
Hearing Site: Los Angeles, CA
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| 20-02633 | 07/02/2021 | Claimant(s): Brian Vosberg
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Bryan Gless
Arbitrator(s): Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
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| 20-03176 | 07/02/2021 | Claimant(s): Meagan Phelps
Claimant Lawyers(s): Zachary Hayes- Macaluso
Respondent(s): Madison Avenue Securities, Syndicated Capital.
Respondent Lawyers(s): Faith Lee, Jeffrey S. Kob
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
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| 20-02716 | 07/01/2021 | Claimant(s): Norman Robertson
Claimant Lawyers(s): Frances Menzer
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
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| 20-02734 | 07/01/2021 | Claimant(s): Damian Dering
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
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