23-02061 | 02/20/2024 | Claimant(s): Edward Yoon Claimant Lawyers(s): Elizabeth Lowery Respondent(s): Diana Offen, Mehdi Famili Respondent Lawyers(s): Diana Offen, Mehdi Famili Arbitrator(s): Mary M. O'Neil, Robert C. Albini, Daniel Farid Yasharel Hearing Site: Los Angeles, CA
| | Expungement |
23-00234 | 11/17/2023 | Claimant(s): Jeanne Mount Claimant Lawyers(s): Jeanne Mount Respondent(s): Brooke Spicer, Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Mary M. O'Neil, Kendall C. Reed, Maxx O Brawer Hearing Site: Los Angeles, CA
| | $0 |
23-01826 | 11/15/2023 | Claimant(s): Michael West Claimant Lawyers(s): Michael West Respondent(s): Charles Schwab & Co.., Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Greg Scanlon, Randi P. Spallina Arbitrator(s): Mary M. O'Neil Hearing Site: Los Angeles, CA
| | $300 |
22-02879 | 06/02/2023 | Claimant(s): Sofi Securities LLC Claimant Lawyers(s): Michele R Uunderwood Respondent(s): Andre Ismailyan Respondent Lawyers(s): Andre Ismailyan Arbitrator(s): Cynthia B. Stone, Mary M. O'Neil, Ethan Joseph Brown Hearing Site: Los Angeles, CA
| | Settlement |
21-02816 | 03/02/2023 | Claimant(s): Bruce Cullen, Sr. and Rosemarie Cullen Claimant Lawyers(s): Philip L. Vujanov Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William E. Mahoney Arbitrator(s): Barbara M. Zak, Benjamin F. Breslauer, Mary M. O'Neil Hearing Site: Los Angeles, CA
| | $1,483,670 |
20-02914 | 10/01/2021 | Claimant(s): Ronald Lane, The Ronald W. Lane Rollover IRA Claimant Lawyers(s): Ronald W. Lane Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Mary M. O'Neil Hearing Site: Los Angeles, CA
| | Expungement |
19-03307 | 09/30/2021 | Claimant(s): Brian Dornellas Claimant Lawyers(s): David Liebrader Respondent(s): George Schmidt Respondent Lawyers(s): Robert S. Larsen Arbitrator(s): Barbara M. Zak, Mary M. O'Neil, Robert E. Jenks Hearing Site: Las Vegas, NV
| | $525,000 |
20-03033 | 05/21/2021 | Claimant(s): Mohammed Sami Claimant Lawyers(s): Mohammed Sami Respondent(s): TD Ameritrade. Respondent Lawyers(s): Stacey M. Garrett Arbitrator(s): Mary M. O'Neil Hearing Site: Los Angeles, CA
| | $0 |
17-01267 | 02/20/2020 | Claimant(s): Jenny Resnick, Robert Resnick Claimant Lawyers(s): Marc I Zussman Respondent(s): Morgan Stanley Respondent Lawyers(s): Nicholas N. George Arbitrator(s): Mary M. O'Neil, Aurelio A. Garcia, Loyd A Wright Hearing Site: Los Angeles, CA
| | $0 |
18-00497 | 09/16/2019 | Claimant(s): Guity Javid, Negeen Dehesh, Guity Javid Trust, Negeen Dehesh Trust Claimant Lawyers(s): Grant B. Gelberg Respondent(s): Aldo Lozano, Mark Panfil, RBC Capital Markets LLC Respondent Lawyers(s): David Harrison, Michael M. Gless Arbitrator(s): Edward A. Trabin, Mary M. O'Neil, Audrey Lynne Myer Hearing Site: Los Angeles, CA
| | $0 |