| 22-02441 | 05/03/2024 | Claimant(s): Nicole Maisner
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): Benjamin F. Breslauer, Aurelio A. Garcia, Carmen Theresa Herrera
Hearing Site: Los Angeles, CA
|  | Expungement |
| 21-03053 | 04/16/2024 | Claimant(s): Santa Rosa Rancheria Tachi Yokut Tribe
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Joseph Alfred Davis, Robert Rosen, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-03268 | 09/13/2023 | Claimant(s): Alistair Capital Management, Alistair Capital Fund, Alistair Capital Partners
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Tammy L. Roy
Arbitrator(s): Dineo Coleman Gary, Mary Elizabeth Skelnik, Demetria Charissee Howard
Hearing Site: Dallas, TX
| | $0 |
| 19-03229 | 03/03/2022 | Claimant(s): Mary McAllister Morton, The Susie McAllister Morton Living Trust
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Anita Rae Shapiro, George Herman Frisch, Alina Landver
Hearing Site: Los Angeles, CA
| | $0 |
| 18-02136 | 02/24/2020 | Claimant(s): David Valponi, Elizabeth Valponi, The Valponi Revocable Trust dtd 2/24/98, Valponi Family Irrevocable Trust FBO Ali, Valponi Family Irrevocable Trust FBO Eri
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): David Markun
Arbitrator(s): Lawrence R. Mills, Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | $699,664 |
| 17-00757 | 02/06/2020 | Claimant(s): Christopher Bosh, Freida Bosh
Claimant Lawyers(s): Joe B. Abbey, Ryan K. Bakhtiari
Respondent(s): Bradley Dykes, Morgan Stanley, Jeffrey Wiseman
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Robert R. Nursey, G. Maynard Green, C. Sumpter Logan
Hearing Site: Dallas, TX
| | $0 |
| 18-00253 | 08/29/2019 | Claimant(s): Sandra Althaus, Sandra Althaus IRA, Sandra Althaus Roth IRA, Sandra Althaus SEP IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Daniel M. Yamshon, David I. Levine, Michael Lancaster Garcia
Hearing Site: Reno, NV
| | $721,117 |
| 17-01766 | 05/03/2019 | Claimant(s): Schneider Family Limited Partnership LLP
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Matthew Broccolo
Arbitrator(s): George W. Harding, Brian W Yee, Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | $0 |
| 17-00175 | 10/22/2018 | Claimant(s): Helena Galatolo, Susan Protzel, The Susan J. Protzel Trust U/A DTD 07/20
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Rachel Weitzman
Arbitrator(s): Barbara M. Zak, Gary Timothy Haight, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | $0 |
| 17-00407 | 10/15/2018 | Claimant(s): Marcia Berger, The Marcia Berger Brokerage Account, and, Marcia Berger IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Elliott M. Rector
Arbitrator(s): Erik R. Siering, Robert F. Saint-Aubin, Damon Lovette Lewis
Hearing Site: Los Angeles, CA
| | $0 |
