19-02974 | 12/23/2021 | Claimant(s): Douglas Prezzano, Eric Miller, Heinz Jaeggi, Roger Wacker, Stefan Lendi, Steven Soja, Stewart Bosley Claimant Lawyers(s): Barry R. Lax Respondent(s): Credit Suisse Securities (USA) LLC Respondent Lawyers(s): Dennis S. Ellis Arbitrator(s): Barbara M. Zak, Marc S. Joseph, Cynthia Cashman Makin Hearing Site: Los Angeles, CA
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21-00167 | 05/06/2021 | Claimant(s): Honey Badger Investment Securities Claimant Lawyers(s): Joseph J. Lee Respondent(s): Oak Ridge Financial Services Group. Respondent Lawyers(s): Philip T. Colton Arbitrator(s): Marc S. Joseph Hearing Site: Los Angeles, CA
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17-00237 | 08/06/2020 | Claimant(s): J.P. Morgan Securities Claimant Lawyers(s): Eugene Small Respondent(s): John Uriostegui, Rod Nakamoto Respondent Lawyers(s): Leonard Steiner Arbitrator(s): Ronald L. Cameron, Michael M. Hachigian, Marc S. Joseph Hearing Site: Los Angeles, CA
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16-01710 | 03/15/2019 | Claimant(s): Seth Radow Claimant Lawyers(s): Ryan K. Bakhtiari Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Julie L. Taylor Arbitrator(s): Susan B. Gans-Smith, Marc S. Joseph, Michael R. Diliberto Hearing Site: Los Angeles, CA
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09-00822 | 06/22/2010 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Gregory B. Simon Respondent(s): Steven Pompan Respondent Lawyers(s): Gregory J. Sherwin Arbitrator(s): Richard J. Stall, Marc S. Joseph, Andrew Corell Wahrenbrock Hearing Site: Los Angeles, CA
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08-00944 | 01/11/2010 | Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Thomas A. Volz Respondent(s): Sue Lee Respondent Lawyers(s): Robert J. Girard Arbitrator(s): Audrey H. Ruben, James S. Carlson, Marc S. Joseph Hearing Site: Los Angeles, CA
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