| 19-03630 | 11/17/2020 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): UBS Financial Services Inc., Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David Purcell, Elizabeth H. Lindh
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
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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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| 19-03660 | 11/13/2020 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
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| 20-00820 | 11/06/2020 | Claimant(s): Edward Fernandez
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Pacific Cornerstone Capital Incorporated
Respondent Lawyers(s): Registered Agent
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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| 20-01171 | 11/04/2020 | Claimant(s): Robert Tomlinson
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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| 20-00119 | 10/30/2020 | Claimant(s): Terance Power
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Erik R. Siering
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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| 20-00263 | 10/15/2020 | Claimant(s): Cynthia Couyoumjian
Claimant Lawyers(s): Michael Bessette
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Sarah J. Kreisman
Arbitrator(s): Robert B. Hansohn
Hearing Site: Los Angeles, CA
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| 19-03113 | 10/07/2020 | Claimant(s): Matthew Yonally
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
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| 19-03275 | 10/06/2020 | Claimant(s): Eszylfie Taylor
Claimant Lawyers(s): Frances Menzer
Respondent(s): NYLife Securities LLC, Eagle Strategies LLC
Respondent Lawyers(s): Shawn P. Thomas
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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