| 17-02891 | 01/29/2018 | Claimant(s): Dan Gallagher
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
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| 16-02037 | 01/03/2018 | Claimant(s): Michael Sexton
Claimant Lawyers(s): John D. Singer
Respondent(s): Brett Grimes
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Arthur T. Berggren, Kevin Joseph Pilon, H. Stuart Waxman
Hearing Site: Los Angeles, CA
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| 16-00690 | 12/21/2017 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John L. Erikson
Respondent(s): Edward Wedbush, Jeffrey Bell
Respondent Lawyers(s): John L. Erikson, Ryan K. Bakhtiari
Arbitrator(s): Michael M. Hachigian, Thomas Mason Harwood, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
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| 17-01127 | 12/18/2017 | Claimant(s): Christopher Clark
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Kristen Kinney
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
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| 16-03509 | 12/08/2017 | Claimant(s): Alexander Conteh
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Cole Capital Corporation
Respondent Lawyers(s): Theodore J. Sawicki
Arbitrator(s): George L. Tindall, Carole Helfert Aragon, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
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| 17-02162 | 12/08/2017 | Claimant(s): Michael Kanigher
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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| 16-01946 | 12/06/2017 | Claimant(s): Jerald Halverson, Michael Winn
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Samantha W. Mahoney
Arbitrator(s): Robert E. Jenks, Pamela Jane Koslow, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA
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| 17-00890 | 12/05/2017 | Claimant(s): Michael Greer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): A. Joel Klein
Hearing Site: Los Angeles, CA
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| 17-00457 | 11/30/2017 | Claimant(s): Mark Schulten
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Mark S. Priver
Hearing Site: Los Angeles, CA
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| 17-01494 | 11/27/2017 | Claimant(s): James Chiate
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Richard J. Stall
Hearing Site: Los Angeles, CA
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