| 22-02462 | 01/05/2024 | Claimant(s): Ava Naeini
Claimant Lawyers(s): Ava Naeini
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Elliott Finkel, Joseph Winter, Robert Charles Pearman
Hearing Site: Los Angeles, CA
|  | $0 |
| 22-01667 | 06/09/2023 | Claimant(s): Jacob Tiab
Claimant Lawyers(s): Jacob Tiab
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Joseph Winter, H. Stuart Waxman, Jeffrey Dwayne Robertson
Hearing Site: Los Angeles, CA
| | $0 |
| 22-00164 | 05/05/2023 | Claimant(s): Steven Kurzet
Claimant Lawyers(s): Scott A. Shanes
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Joseph Winter, Jay H. Feldstein, Richard Kent Mahrle
Hearing Site: Las Vegas, NV
| | $0 |
| 22-01292 | 04/05/2023 | Claimant(s): Estate of Robert G. Gard III
Claimant Lawyers(s): Randy Scott Erlewine
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline Karama
Arbitrator(s): Joseph Winter, Lisa Suzette Hart, Kathy Bazoian Phelps
Hearing Site: Los Angeles, CA
| | $456,310 |
| 21-03046 | 02/10/2023 | Claimant(s): Anne Holland-McCowan
Claimant Lawyers(s): Aaron Lee Arndt
Respondent(s): Andrew Hess, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Brian T. Burns
Arbitrator(s): Joseph Winter, Kenneth M. Weinman, Adam Michael Porter
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-02030 | 06/30/2022 | Claimant(s): Irwin Schaeffer, Schaeffer Family Trust
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Joseph Winter, David Harvey Failer, Hiro N Aragaki
Hearing Site: Los Angeles, CA
| | $0 |
| 20-02195 | 02/10/2021 | Claimant(s): Jennifer Scheffer, Jimmy Epley
Claimant Lawyers(s): Jimmy D. Epley
Respondent(s): Paul Kuhn
Respondent Lawyers(s): Joanna M. Myers
Arbitrator(s): Joseph Winter
Hearing Site: Las Vegas, NV
| | $0 |
| 17-01334 | 09/18/2018 | Claimant(s): Estate of Manlio Frank Ajello, Deceased, Emily Gordon
Claimant Lawyers(s): Emily Gordon
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Joseph Winter, Jeffrey L. Malek, Judy Man-Ling Lam
Hearing Site: Los Angeles, CA
| | $0 |
| 16-01519 | 02/20/2018 | Claimant(s): Merle Propp, Robert Propp, Merle Carter Family Trust dated March 5,
Claimant Lawyers(s): Kristin M. Cano, Steven L. Stern
Respondent(s): Wells Fargo Advisors, Jackson National Life Distributors LLC
Respondent Lawyers(s): Kevin K. Fitzgerald, Patrick Y. Yoo
Arbitrator(s): Joseph Winter, Martin J. Kotowski, Steven Cohen
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-02108 | 07/05/2017 | Claimant(s): Michael Gallion, The Estate of Nancy Gallion
Claimant Lawyers(s): John D. Singer
Respondent(s): Calvin Zara, Pruco Securities.
Respondent Lawyers(s): Courtney Stieber, David H. Jarvis
Arbitrator(s): Kenneth E. Owen, Joseph Winter, Daniel Lawrence Pearlman
Hearing Site: Los Angeles, CA
| | Expungement |
