| 15-02449 | 12/28/2016 | Claimant(s): Thomas Murphy
Claimant Lawyers(s): Donald Potter
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles B. LaChaussee
Arbitrator(s): Edward Banian, Constance Ellen Boukidis, Eric Gad Forster
Hearing Site: Los Angeles, CA
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| 14-00937 | 12/27/2016 | Claimant(s): BTIG
Claimant Lawyers(s): Scott T. Nonaka
Respondent(s): Ahmad Moussavi, David Connors, Deirdre McCoy, Jacques Tizabi, Jay Chapler, M. Khan, Marc Wade, Mark Valentine, Michael Cheng, Nima Montazeri, Sam Halim, Scott Dorey, BHP International Markets, Ltd., Floyd Associates., Silver Leaf Partners
Respondent Lawyers(s): Anthony S. Kikivarakis, Harry Delagrammatikas, John R. Loftus, Kasey Curtis, Liam O' Brien, Mark E. Valentine, Steven M. Goldsobel, Stuart A. Shanus
Arbitrator(s): Robert D. Sussin, Michael W. Burnett, Alan Bert Nishimura
Hearing Site: Los Angeles, CA
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| 16-01142 | 12/22/2016 | Claimant(s): Brad Stark
Claimant Lawyers(s): Chad Weaver
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Norman Cousins Sasamori, Milton N. Gross, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
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| 15-00622 | 12/02/2016 | Claimant(s): Michael Phillip
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): A. Joel Klein, Steven A. Wawra, Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
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| 15-02809 | 11/29/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Darren Walton
Respondent Lawyers(s): Darren Thomas Walton
Arbitrator(s): Joseph Winter
Hearing Site: Los Angeles, CA
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| 15-01474 | 11/21/2016 | Claimant(s): Walid Shinnawi
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): DFA Securities LLC, Dimensional Fund Advisors.
Respondent Lawyers(s): Laura Shelby
Arbitrator(s): Barbara M. Zak, James A. Sigler, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
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| 14-01285 | 11/11/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Charles N. Bland
Respondent(s): Shannon Powers-Solomon
Respondent Lawyers(s): Stephen J. Wiard
Arbitrator(s): Richard J. Stall, Olivia J. Valentine, Kenneth Paul Strongman
Hearing Site: Los Angeles, CA
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| 15-01949 | 11/01/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Jeffrey Wiseman
Respondent Lawyers(s): David Lefkowitz
Arbitrator(s): Ronald L. Cameron
Hearing Site: Los Angeles, CA
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| 14-02797 | 10/20/2016 | Claimant(s): Partnervest Advisory Services, Partnervest Financial Group, Partnervest Securities.
Claimant Lawyers(s): Gerard J. Kowalski
Respondent(s): Timothy Mahota
Respondent Lawyers(s): Daren A. Luma
Arbitrator(s): Martin J. Kotowski, Robert Dean McKinley, Robert Weston Armstrong
Hearing Site: Los Angeles, CA
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| 15-00351 | 10/13/2016 | Claimant(s): Bambi Holzer
Claimant Lawyers(s): Heather Davis
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John L. Erikson
Arbitrator(s): Richard A. Stephens, Jeffrey L. Malek, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
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