| 16-02910 | 05/24/2017 | Claimant(s): Christine Orta, John Lindsey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 16-02928 | 05/18/2017 | Claimant(s): John Lindsey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
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| 15-02581 | 04/21/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Esperanza Padilla Gomez, John Carroll
Respondent Lawyers(s): Mitchell J. Albert, Sharron Ash
Arbitrator(s): Andrew M. Mintzer, Elliott Zachary Seff, Martin J. Kotowski
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 16-03212 | 04/19/2017 | Claimant(s): Martin Flores
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Autumn Crowell
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
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| 15-00448 | 04/10/2017 | Claimant(s): Sherif Iskander
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harold M. Brody
Arbitrator(s): Christopher L. Mass, Tim James O'Keefe, Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
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| 15-02684 | 03/30/2017 | Claimant(s): Adina Pruitt
Claimant Lawyers(s): Erin E. Hanson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Roberta Haft, Elliott David Finkel, Robert E. Jenks
Hearing Site: Los Angeles, CA
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| 16-02858 | 02/21/2017 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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| 15-03226 | 01/24/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Edward Levi
Respondent Lawyers(s): Edward Kelly Levi
Arbitrator(s): Robert A. Lombardi, Marvin B. Karelitz, W. Alex King
Hearing Site: Los Angeles, CA
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| 16-01367 | 01/17/2017 | Claimant(s): Richard Zinman
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
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| 16-00340 | 12/30/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy Will
Respondent(s): Andrew Goodman
Respondent Lawyers(s): Andrew Goodman
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
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