| 13-03275 | 07/10/2024 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): James Dryden
Respondent Lawyers(s): Deborah A. Klar
Arbitrator(s): Robert D. Sussin, Kirtley M. Thiesmeyer, Frank Centofanti
Hearing Site: Los Angeles, CA
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| 21-01022 | 06/18/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Henry Chang
Respondent Lawyers(s): Henry Chia-How Chang
Arbitrator(s): Mario H. Metzger, Kirtley M. Thiesmeyer, Daniel Lawrence Pearlman
Hearing Site: Los Angeles, CA
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| 23-02358 | 04/08/2024 | Claimant(s): Jonathan French
Claimant Lawyers(s): Zack Knoblock
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Darol K. Paulsen
Arbitrator(s): Constance Ellen Boukidis, Kirtley M. Thiesmeyer, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
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| 23-01400 | 01/22/2024 | Claimant(s): Roberto Vila
Claimant Lawyers(s): William Bean
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
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| 23-00796 | 01/09/2024 | Claimant(s): Daniel Beech
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Western International Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Ronald L. Cameron, Alexandra M. Linden, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 23-01335 | 12/11/2023 | Claimant(s): Christopher Rieger
Claimant Lawyers(s): Harris Freedman
Respondent(s): A.G.P. / Alliance Global Partners
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 23-01102 | 09/01/2023 | Claimant(s): Brian Donaldson, Frank Baldwin
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
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| 22-02536 | 08/31/2023 | Claimant(s): Ralph Adamo
Claimant Lawyers(s): Harris Freedman
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 22-02235 | 07/07/2023 | Claimant(s): Andrew Kuo, Bradley Kaiser
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Western International Securities.
Respondent Lawyers(s): Donald Bizub
Arbitrator(s): Mary M. O'Neil, Kirtley M. Thiesmeyer, Sidney Kinji Kanazawa
Hearing Site: Los Angeles, CA
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| 23-00529 | 06/01/2023 | Claimant(s): Morgan Stanley, MSSB Financing LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Ronald Diaz
Respondent Lawyers(s): Ronald Diaz
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Phoenix, AZ
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