| 23-01156 | 04/02/2024 | Claimant(s): Cynthia Couyoumjian
Claimant Lawyers(s): Michael Bessette
Respondent(s): LPL Financial LLC, First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden, Kelsey L. Vasko
Arbitrator(s): Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 21-01354 | 02/16/2023 | Claimant(s): Sean Caston
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): American Trust Investment Services.
Respondent Lawyers(s): Andrew S. May
Arbitrator(s): Roberta Haft, Ronald L. Cameron, Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 22-00058 | 11/17/2022 | Claimant(s): Bhadresh Shah
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, W. Preston Martin
Arbitrator(s): Robert Rosen, Adam Michael Porter, Yvonne YingFan Yiu
Hearing Site: Los Angeles, CA
| | |
| 19-03652 | 04/13/2021 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 17-02892 | 01/29/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Alex Salcedo
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Robert Rosen, Russell T. Doe, Marc David Wilde
Hearing Site: Los Angeles, CA
| | |
| 18-00152 | 07/05/2018 | Claimant(s): Shawn Patt
Claimant Lawyers(s): Shawn Shyama Patt
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Hillary A. Darnell
Arbitrator(s): Robert Rosen, David Maurer, Howard Clark Posner
Hearing Site: Los Angeles, CA
| | |
| 15-02423 | 05/03/2016 | Claimant(s): Brad Kalas
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Howard A. Emirhanian, Jeffrey E. Skogsbergh, Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 11-02260 | 12/30/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Ted Shin
Respondent Lawyers(s): Ted Sung-Woo Shin
Arbitrator(s): Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 10-02929 | 12/16/2010 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Justin Sacca
Respondent(s): Harold McNaughton
Respondent Lawyers(s): Harold D. McNaughton
Arbitrator(s): Robert Rosen
Hearing Site: Los Angeles, CA
| | |
