| 18-01138 | 02/04/2019 | Claimant(s): Antoine Souma
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Cheryl S. Chang
Arbitrator(s): Barbara M. Zak, James R. Duncan, Morris S. Getzels
Hearing Site: Los Angeles, CA
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| 17-02892 | 01/29/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Alex Salcedo
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Robert Rosen, Russell T. Doe, Marc David Wilde
Hearing Site: Los Angeles, CA
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| 18-02084 | 01/17/2019 | Claimant(s): Darren Edwards
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Deborah Burstein
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
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| 18-01773 | 01/14/2019 | Claimant(s): Troy Tremblay
Claimant Lawyers(s): Bentley P. Stansbury
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael Leahy
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
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| 16-02914 | 01/08/2019 | Claimant(s): William and Henry Associates
Claimant Lawyers(s): John R. Loftus
Respondent(s): Anna Jacob, David Iannini
Respondent Lawyers(s): Brandon S. Reif, John R. Loftus
Arbitrator(s): Thomas Edward Wall, Michael M. Hachigian, Barry A. Fisher
Hearing Site: Los Angeles, CA
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| 17-03371 | 01/07/2019 | Claimant(s): Timothy Hughes
Claimant Lawyers(s): Elizabeth Lowery
Respondent(s): Joan Mccool, SECU Brokerage Services
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Alan Stamm, Mark A. Levy, Rahsan Malik Boykin
Hearing Site: Los Angeles, CA
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| 18-01400 | 12/31/2018 | Claimant(s): Gordon Chen, Nhut Anh Dang
Claimant Lawyers(s): Neal S. Robb
Respondent(s): Kai Lee
Respondent Lawyers(s): Kai Lee
Arbitrator(s): Robert D. Sussin, Cathleen M. Cobb, Rahsan Malik Boykin
Hearing Site: Los Angeles, CA
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| 18-01318 | 12/28/2018 | Claimant(s): Adam Goldstein
Claimant Lawyers(s): Chad Weaver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
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| 18-01740 | 12/28/2018 | Claimant(s): Lorenzo Esparza
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Vanessa C. Krumbein
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 18-00507 | 12/27/2018 | Claimant(s): Aaron Maurer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RP Capital LLC
Respondent Lawyers(s): Gary Price
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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