| 22-02036 | 04/11/2023 | Claimant(s): Brian Stokes
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
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| 21-02474 | 12/29/2022 | Claimant(s): Zhe Feng Zhang
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Edward Jones
Respondent Lawyers(s): Teresa J. Thong
Arbitrator(s): Kirtley M. Thiesmeyer, Jonathan D Gereige, Steve S. Baghoomian
Hearing Site: Los Angeles, CA
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| 19-00083 | 06/23/2022 | Claimant(s): Dawn Winship
Claimant Lawyers(s): Dawn Winship
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Ephraim J. Pierre
Arbitrator(s): Michael G. Clark, Kirtley M. Thiesmeyer, Audrey Lynne Myer
Hearing Site: Los Angeles, CA
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| 21-00963 | 03/28/2022 | Claimant(s): Edwin McClure III
Claimant Lawyers(s): Zachary Morse
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
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| 21-02214 | 03/23/2022 | Claimant(s): Danielle Stanton
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey L. Vasko
Arbitrator(s): Robert A. Lakosil, Kirtley M. Thiesmeyer, Thomas L. Marshall
Hearing Site: San Diego, CA
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| 21-01431 | 02/04/2022 | Claimant(s): John Czajkowski
Claimant Lawyers(s): Chrisitina Vourakis
Respondent(s): Securities America.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Jo-Ann C. Little, Randy R. Maher, Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
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| 21-01246 | 02/03/2022 | Claimant(s): Charlotte Lowe, Patrick Lowe
Claimant Lawyers(s): Robert Jay Moses
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 21-02038 | 10/13/2021 | Claimant(s): Michael Chudd
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Las Vegas, NV
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| 20-03142 | 10/07/2021 | Claimant(s): Paul Neves
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
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| 20-03059 | 06/04/2021 | Claimant(s): Bradley Finnigan
Claimant Lawyers(s): Chelsea Masters
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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