| 18-03682 | 05/31/2019 | Claimant(s): Brian Levy
Claimant Lawyers(s): Frances Menzer
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
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| 17-00294 | 05/17/2019 | Claimant(s): Harold Hermelee, Ian Smith, Peter Harrison, Tad Dahlke
Claimant Lawyers(s): Joel Levin
Respondent(s): Gary Wunderlich, Lionel Conacher, Philip Zanone, Wunderlich Investment., Wunderlich Securities.
Respondent Lawyers(s): Mark Griffin
Arbitrator(s): Joseph Winter, Michael John Florio, Alan Stanley Petlak
Hearing Site: Los Angeles, CA
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| 19-00421 | 05/09/2019 | Claimant(s): Yangchen Lama
Claimant Lawyers(s): Consuelo A. Mejer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 18-01826 | 05/08/2019 | Claimant(s): Pablo Vaquera
Claimant Lawyers(s): Pablo Raul Vaquera
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Daniel A. Seiver, Jack R. Goetz, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
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| 19-00101 | 05/03/2019 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Ryan Capatosto
Respondent Lawyers(s): Ryan Lawrence Capatosto
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
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| 18-01221 | 04/26/2019 | Claimant(s): Andrew Bolous
Claimant Lawyers(s): Andrew Rafat Bolous
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey A. Wortman
Arbitrator(s): Edward A. Trabin, Noel Harvey Applebaum, Joanne Park
Hearing Site: Los Angeles, CA
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| 18-01422 | 04/17/2019 | Claimant(s): Jimmy Suh
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrew M. DeLucia
Arbitrator(s): Richard M. Norman, David S. Harrison, Norman Michael Garland
Hearing Site: Los Angeles, CA
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| 18-02456 | 04/16/2019 | Claimant(s): Matt Ward
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Euro Pacific Capital., Maxwell Capital.
Respondent Lawyers(s): Annette Calveri, Robert H. Decker
Arbitrator(s): David J. Anderson
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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| 18-03049 | 04/09/2019 | Claimant(s): Richard Zinman
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Katherine L. Handy
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
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