| 19-00131 | 06/17/2019 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Dennis Ayre
Respondent Lawyers(s): Dennis Phillip Ayre
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 18-04050 | 05/24/2019 | Claimant(s): Robert Disman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Las Vegas, NV
| | |
| 19-00421 | 05/09/2019 | Claimant(s): Yangchen Lama
Claimant Lawyers(s): Consuelo A. Mejer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 18-01740 | 12/28/2018 | Claimant(s): Lorenzo Esparza
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Vanessa C. Krumbein
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 18-02441 | 09/20/2018 | Claimant(s): Deborah Key
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 17-02375 | 03/26/2018 | Claimant(s): Brad Stark
Claimant Lawyers(s): Chad Weaver
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Kirtley M. Thiesmeyer, Joseph L. Hagan, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
| | |
| 16-01550 | 06/19/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Adam A. Brown
Respondent(s): Edison Noboa
Respondent Lawyers(s): Jonathan Schwartz
Arbitrator(s): Victoria E. Johnson, Thomas R. Watkins, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 16-02910 | 05/24/2017 | Claimant(s): Christine Orta, John Lindsey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 15-00610 | 07/07/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): John Lipari
Respondent Lawyers(s): Michael E. Barmasse
Arbitrator(s): Kirtley M. Thiesmeyer, Owen Frances, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
| | |
| 14-00734 | 09/18/2014 | Claimant(s): Philip Bresnick
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Pauline Newman
Respondent Lawyers(s): Pauline Newman
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | Expungement |
