| 17-02377 | 09/26/2018 | Claimant(s): Keith Yun, Nancy Yun
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): David J. Anderson, Arthur T. Berggren, Michael M. Hachigian
Hearing Site: Los Angeles, CA
|  | Expungement |
| 16-00677 | 03/27/2017 | Claimant(s): Ruby Maddox
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates., Kathleen Tarr
Respondent Lawyers(s): G. Thomas Fleming, Paul W. Thomas
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-01169 | 12/19/2016 | Claimant(s): Dolores Hsu, Vadim Hsu
Claimant Lawyers(s): Morse Taylor
Respondent(s): Erin McNelly, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Scott E. Rahn
Arbitrator(s): David J. Anderson, Robert A. Lombardi, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | $31,682 |
| 13-03659 | 03/08/2016 | Claimant(s): Barbara Klotz, Richard Klotz
Claimant Lawyers(s): Anthony Reguero, M. Ryan DiMaria
Respondent(s): Gary Roney, Jack Hartfelder, Morgan Stanley
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): David J. Anderson, A. Joel Klein, Terry D. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-02168 | 11/13/2015 | Claimant(s): Global eBusiness Services
Claimant Lawyers(s): Syed Nazim Ali
Respondent(s): Interactive Brokers LLC.
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): David J. Anderson, Edward A. Trabin, W. Alex King
Hearing Site: Los Angeles, CA
| | $0 |
| 13-02537 | 10/01/2014 | Claimant(s): Steven Hall
Claimant Lawyers(s): Steven H. Hall
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-01039 | 08/28/2014 | Claimant(s): Norman Frey, Rambling River Ranches.
Claimant Lawyers(s): Bradd L. Milove, Jacob Pyle
Respondent(s): Sagepoint Financial., Robert Achurra, AIG Financial Advisors.
Respondent Lawyers(s): Jesse B. Simpson
Arbitrator(s): David J. Anderson, Linda Jane Jones, Richard R. Edmister
Hearing Site: Las Vegas, NV
| | $731,000 |
| 11-04733 | 06/16/2014 | Claimant(s): Kwan Yoo
Claimant Lawyers(s): Kwan Kun Yoo
Respondent(s): Mooho Lee, Young Seo, Ace Diversified Capital., Ace Securities.
Respondent Lawyers(s): Marc I. Zussman
Arbitrator(s): David J. Anderson, Erik R. Siering, Michael John Florio
Hearing Site: Los Angeles, CA
| | $0 |
| 10-02633 | 07/16/2012 | Claimant(s): Alvaro Castro, Patricia Castro, The Castro Family Trust
Claimant Lawyers(s): Irwin Stein, Timothy A. Canning
Respondent(s): Jim Lund, Michelle Langer, Robert Tweed, Capwest Securities.
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): David J. Anderson, Melvin S. Feldman, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | $156,250 |
| 10-03515 | 10/24/2011 | Claimant(s): Estelle Thompson
Claimant Lawyers(s): William J. Gladden
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Avital Stadler
Arbitrator(s): David J. Anderson, Holly A. Hart, Delores Manwar
Hearing Site: Birmingham, AL
| | $300 |
