| 21-01800 | 08/24/2023 | Claimant(s): Rudolph Baker
Claimant Lawyers(s): Rudolph Baker
Respondent(s): E*Trade Securities LLC, TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher, John Bersin
Arbitrator(s): Joseph C. Watson, W. Alex King, Richard Andrew Roupoli
Hearing Site: Los Angeles, CA
|  | $0 |
| 21-02861 | 03/24/2023 | Claimant(s): Arnold Shvarts, Oksana Shvarts
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Bradley Kaiser, Donald Bizub, Hagop Nalbandian, Krikor Demirjian, Wendy Rea, Western International Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Robert D. Sussin, W. Alex King, Andrew W. Levin
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-01076 | 02/04/2022 | Claimant(s): Farid Ghafelpour
Claimant Lawyers(s): Farid Ghafelpour
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Barbara M. Zak, W. Alex King, Xochitl Arteaga
Hearing Site: Los Angeles, CA
| | $0 |
| 16-00460 | 06/05/2017 | Claimant(s): Ronnie Harper, Ronnie Benny Harper Revocable Living Tru
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Royal Alliance Associates., Regal Advisory Services.
Respondent Lawyers(s): Frederick A. Rafeedie
Arbitrator(s): Neil S. Jasper, Edward A. Trabin, W. Alex King
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00979 | 05/12/2017 | Claimant(s): William Conklin, William Conklin IRA, William Conklin TOD Account
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Robert F. Saint-Aubin, W. Alex King, Kenneth M. Weinman
Hearing Site: Los Angeles, CA
| | $0 |
| 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 |
| 13-01387 | 08/19/2014 | Claimant(s): Daniel Cohen, Daniel L. Cohen 1980 Irrevocable Trust
Claimant Lawyers(s): James L. Parks, Thomas J. Meagher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Eric A. Herzog, Michael G. Shannon, Trae D. Meyr
Arbitrator(s): Kenneth E. Owen, W. Alex King, Peggy Jane Fisher
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12504 |
| 11-01909 | 05/25/2012 | Claimant(s): Rose Kramer, Stanley Kramer, DRG Hendersonville TIC 13 LLC, TIC Ren Meadowlands 31, Mayer & Rose Kramer Inter Vivos Trst Ame, Mayer & Rose Kramer Inter Vivos Trust
Claimant Lawyers(s): Jonah A. Toleno
Respondent(s): Amy Grindstaff, Dale Hall, David Smith, Jeffrey Pridey, Kathleen Heshelow, Larry Behrends, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities., MAM Securities
Respondent Lawyers(s): Corporate Officer, David L. Smith, H Thomas Fehn, Keith E. Grindstaff, Larry Ivan Behrends, Robert C. Rosen
Arbitrator(s): Vincent J. Natoli, Robert F. Saint-Aubin, W. Alex King
Hearing Site: Los Angeles, CA
| | $334,000 |
| 10-02840 | 12/05/2011 | Claimant(s): Estate of Jeanne Smith
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Dean J. Dietrich, W. Alex King, Richard Roger Brewer
Hearing Site: Nashville, TN
| | $0 |
| 10-01114 | 12/02/2011 | Claimant(s): Bill Manuel
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): W. Alex King
Hearing Site: Birmingham, AL
| | $25,000 |
