| 16-00802 | 06/01/2018 | Claimant(s): Joel Kettler
Claimant Lawyers(s): Robert J. Girard
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Alexander
Arbitrator(s): Elliott D. Finkel, Jeanne E. Irving, Jack R. Goetz
Hearing Site: Los Angeles, CA
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| 17-02597 | 05/30/2018 | Claimant(s): Peter Han
Claimant Lawyers(s): Owen Harnett
Respondent(s): Centaurus Financial., First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden, Paul King
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
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| 17-01618 | 05/09/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N Will
Respondent(s): Donavan Mayes, Gayle Bullock, William Bullock
Respondent Lawyers(s): Stephany D. McLaughlin, Timothy N Will
Arbitrator(s): Andrew M. Mintzer, Dorothy B. Strackbein, Owen Frances
Hearing Site: Los Angeles, CA
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| 17-02359 | 05/08/2018 | Claimant(s): Ralph Slocum
Claimant Lawyers(s): Armin Sarabi
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Hillary A. Darnell
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
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| 17-02026 | 05/07/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Allison Lintell
Respondent Lawyers(s): Jesse H. Kibort
Arbitrator(s): Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
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| 16-03407 | 04/23/2018 | Claimant(s): Thomas Calder
Claimant Lawyers(s): Thomas B. Calder
Respondent(s): Financial West Group
Respondent Lawyers(s): Edward Zusman
Arbitrator(s): Sandra L. Malek, Elliott David Finkel, Michael Craig Ditty
Hearing Site: Los Angeles, CA
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| 17-00308 | 04/12/2018 | Claimant(s): John Storm
Claimant Lawyers(s): John Gregory Storm
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey A. Wortman
Arbitrator(s): Marie Ann Stein, Steven H. Gentry, Mario Cavar Bickham
Hearing Site: Los Angeles, CA
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| 17-02527 | 03/28/2018 | Claimant(s): Rafael De Vengoechea
Claimant Lawyers(s): Owen Harnett
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
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| 17-00581 | 03/27/2018 | Claimant(s): Mihail Naumovski
Claimant Lawyers(s): Marc D. Schifanelli
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Alyson Terrell
Arbitrator(s): Sheldon M. Jaffe, W. Scott Bowersock, George Herman Frisch
Hearing Site: Los Angeles, CA
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| 17-02375 | 03/26/2018 | Claimant(s): Brad Stark
Claimant Lawyers(s): Chad Weaver
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Kirtley M. Thiesmeyer, Joseph L. Hagan, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
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