| 18-03818 | 10/22/2019 | Claimant(s): Shawn Gruver
Claimant Lawyers(s): Michael Bessette
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
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| 19-01115 | 10/22/2019 | Claimant(s): Jennifer Turner
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Neil S. Jasper
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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| 19-00467 | 10/16/2019 | Claimant(s): Jerald Halverson, Michael Winn
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elyse W. Whitehead
Arbitrator(s): Robert D. Sussin, Christine A. Page, Richard M. Norman
Hearing Site: Los Angeles, CA
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| 18-03421 | 10/14/2019 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Eric R. Feld
Respondent(s): John Wyshak
Respondent Lawyers(s): John Charles Wyshak
Arbitrator(s): Mark T Risner
Hearing Site: Los Angeles, CA
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| 18-03660 | 10/11/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh, Nicholas Y. Lin
Arbitrator(s): Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
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| 19-00518 | 10/11/2019 | Claimant(s): Gal Sherman
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Equity Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
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| 19-00306 | 10/10/2019 | Claimant(s): George Burga
Claimant Lawyers(s): George Luis Burga
Respondent(s): Multiple Financial Services.
Respondent Lawyers(s): Michael H. Flammer
Arbitrator(s): George L. Tindall, Ronald D. Goldman, Samuel Lui
Hearing Site: Los Angeles, CA
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| 19-00515 | 10/10/2019 | Claimant(s): Steven Henningson
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
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| 18-03081 | 10/08/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Timothy L. Moore
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
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