| 19-03466 | 06/22/2020 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Joseph Pastore
Respondent Lawyers(s): Joseph Edward Pastore
Arbitrator(s): Barbara M. Zak, Katharine Reed Coleman, John R Sustersic
Hearing Site: Los Angeles, CA
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| 19-03308 | 06/11/2020 | Claimant(s): Aaron Clark
Claimant Lawyers(s): Russell Chapman
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
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| 19-02709 | 03/27/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Joshua Norton
Respondent(s): Xiangyu Zhang
Respondent Lawyers(s): Franklin Tzeng
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
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| 18-01138 | 02/04/2019 | Claimant(s): Antoine Souma
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Cheryl S. Chang
Arbitrator(s): Barbara M. Zak, James R. Duncan, Morris S. Getzels
Hearing Site: Los Angeles, CA
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| 18-01318 | 12/28/2018 | Claimant(s): Adam Goldstein
Claimant Lawyers(s): Chad Weaver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Barbara M. Zak
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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| 14-02982 | 09/27/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jennifer L. Tomsen, Tracy L. Gerber
Respondent(s): Audra Lalley
Respondent Lawyers(s): Michael A. Thurman
Arbitrator(s): Barbara M. Zak, Annette Gres Shepherd, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
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| 10-00564 | 10/26/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Brian Mcloughlin
Respondent Lawyers(s): Brian McLoughlin
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
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| 05-01153 | 08/24/2007 | Claimant(s): Burke Dambly, Cindy Chiu, Corbin Thomas, James Walsh, Linda Bak, Robert Horning, Troy Thomas
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Michael Upton, Direct Capital Securities., MCL Financial Group., Upton Financial Services.
Respondent Lawyers(s): Clay Womack, Theodore Peters
Arbitrator(s): Barbara M. Zak, Dorothy B. Strackbein, Janice A. Salter
Hearing Site: Los Angeles, CA
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