| 16-03212 | 04/19/2017 | Claimant(s): Martin Flores
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Autumn Crowell
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | |
| 15-00428 | 01/19/2016 | Claimant(s): Scott Blair
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea M. Greene
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | |
| 14-02870 | 10/29/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Note Hold
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Brian Benner
Respondent Lawyers(s): Patrick R. Mahoney
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | |
| 14-01600 | 04/24/2015 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | |
| 14-03096 | 03/27/2015 | Claimant(s): Randall Krenzin
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | |
| 14-02203 | 03/04/2015 | Claimant(s): Randall Krenzin
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Ronald Chun
Hearing Site: San Francisco, CA
| | |
| 14-00161 | 08/12/2014 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Annette Gres Shepherd
Hearing Site: Los Angeles, CA
| | |
| 14-00172 | 07/31/2014 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | |
| 12-03918 | 06/27/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Allison Ember, Daniel Ember UILUTMA, Michael Ember UILUTMA, G. Howard and Patricia R. Ember JTTEN
Respondent Lawyers(s): G. Howard Ember
Arbitrator(s): Phillips M. Montross, Michael Howard Rosenbloom, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
| | Expungement |
| 12-03446 | 06/19/2013 | Claimant(s): Constantine Koukos, Morgan Stanley
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Mark Ellison Glover
Respondent Lawyers(s): Mark Ellison Glover
Arbitrator(s): Robert F. Saint-Aubin, Daniel David Kopman, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | Expungement |
