| 22-00410 | 02/01/2023 | Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William H. Badinelli
Arbitrator(s): A. Joel Klein, Benjamin F. Breslauer, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | |
| 16-02681 | 06/08/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): James Duncombe
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): A. Joel Klein, Rosa Linda Guadarrama, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
| | |
| 17-00890 | 12/05/2017 | Claimant(s): Michael Greer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): A. Joel Klein
Hearing Site: Los Angeles, CA
| | |
| 15-00622 | 12/02/2016 | Claimant(s): Michael Phillip
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): A. Joel Klein, Steven A. Wawra, Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
| | |
| 14-00028 | 10/09/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Steve Sung
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Howard A. Emirhanian, A. Joel Klein, Michael M. Perrigue
Hearing Site: Los Angeles, CA
| | |
| 12-02287 | 12/03/2014 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Alan Mann
Respondent Lawyers(s): David Liebrader
Arbitrator(s): A. Joel Klein, Paul E. Dahlman, William Ogburn Huggins
Hearing Site: Las Vegas, NV
| | |
| 13-02727 | 05/19/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Brad Baggarly
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Kenneth R. Hyman, June McLaughlin, A. Joel Klein
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-00936 | 11/29/2012 | Claimant(s): Fariba Madison
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Rita Kennann
Respondent Lawyers(s): Arline P. Vezina
Arbitrator(s): A. Joel Klein, Joyce L. Hurley, Karen A. Lockwood
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-02486 | 10/11/2010 | Claimant(s): Robert Brink
Claimant Lawyers(s): Edward T. Swanson
Respondent(s): Jessica Cutrera, BFT Financial Group
Respondent Lawyers(s): Martin W. Jaszczuk, W. Perry Brandt
Arbitrator(s): Tina L. Mitchell, A. Joel Klein, Richard M. Norman
Hearing Site: Los Angeles, CA
| | |
| 05-06281 | 09/26/2008 | Claimant(s): Charles Salfity
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Scott Householder, Todd Bergeron, The Householder Group, LLLP
Respondent Lawyers(s): David H. Carmichael, David Carmichael
Arbitrator(s): Robert J. Ruben, A. Joel Klein, James M. Goldberg
Hearing Site: Los Angeles, CA
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