| 16-00854 | 08/01/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Michael Becking
Respondent Lawyers(s): Michael Allen Becking
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 13-03601 | 06/08/2016 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Holly J. Sutton
Respondent(s): Vincent Woo
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): Daniel R. Brush, Kendall C. Reed, George Herman Frisch
Hearing Site: Los Angeles, CA
| | |
| 15-02803 | 02/12/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Judy Louie
Respondent(s): Gustavo Miramontes
Respondent Lawyers(s): Gustavo Santos Miramontes
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | |
| 13-01941 | 09/24/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John R. Bamford
Respondent(s): Bruce Branstine
Respondent Lawyers(s): Bruce C. Branstine
Arbitrator(s): Alan Stamm, Jeffrey E. Skogsbergh, Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 11-04118 | 08/01/2014 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Peter R. Boutin
Respondent(s): Just Mortgage., RMK Financial Corp. d/b/a Majestic Home
Respondent Lawyers(s): Stephen Cho
Arbitrator(s): Elliott David Finkel, Madeleine Kleinman, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 12-01261 | 09/14/2012 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Kent Chung
Respondent Lawyers(s): Michael A. Gould
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 09-06492 | 09/06/2011 | Claimant(s): Amir Monsefi
Claimant Lawyers(s): Faryan Andrew Afifi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Barton J. Brewer, Debra Brothers Self, Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 07-00469 | 03/15/2010 | Claimant(s): Robert Rose
Claimant Lawyers(s): Philip D. Dapeer
Respondent(s): John Barnes, Sanah Chung
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Robert Bruce MacDonald, Kirtley M. Thiesmeyer, Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 07-01196 | 03/20/2009 | Claimant(s): Gary Neiens
Claimant Lawyers(s): Maureen J. Duris
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Susan B. Gans-Smith, Ronald E. Malmfeldt, Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 07-03594 | 03/03/2009 | Claimant(s): Euro Pacific Capital.
Claimant Lawyers(s): John D. Pernick
Respondent(s): Kimberly Hardaker
Respondent Lawyers(s): Byron D. Groves
Arbitrator(s): Jonathan Schwartz, Mary M. O'Neil, Kendall C. Reed
Hearing Site: Los Angeles, CA
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