| 20-03439 | 04/09/2021 | Claimant(s): Konstantin Kaplun
Claimant Lawyers(s): Konstantin Kaplun
Respondent(s): Tradestation Securities.
Respondent Lawyers(s): Steven M. Greenbaum
Arbitrator(s): Mark T Risner
Hearing Site: Los Angeles, CA
|  | Dismissed by Rule 12212 |
| 20-02897 | 03/08/2021 | Claimant(s): Mohammed Sami
Claimant Lawyers(s): Mohammed Sami
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $0 |
| 19-02741 | 03/04/2021 | Claimant(s): Jonathan Siegel
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Edith N. Dinneen, Kenneth M. Weinman, Michael John Florio
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-00944 | 01/28/2021 | Claimant(s): Julian Skalski
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Thomas R. Watkins, Edward H. Davis, Lynn Vivian Dymally
Hearing Site: Los Angeles, CA
| | $685,159 |
| 20-01862 | 01/27/2021 | Claimant(s): Richard Ramos
Claimant Lawyers(s): Richard Ramos
Respondent(s): Ted Smail
Respondent Lawyers(s): Ted H Smail
Arbitrator(s): Steven Gourley, Jeffrey E. Skogsbergh, McKinley Perkins
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-02829 | 12/30/2020 | Claimant(s): Angela Roessel
Claimant Lawyers(s): Angela S. Roessel
Respondent(s): Joseph Schirripa, UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01168 | 12/29/2020 | Claimant(s): Michael Bowe
Claimant Lawyers(s): Michael E. Bowe
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Barbara M. Anscher, Michael Lancaster Garcia, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
| | $16,000 |
| 19-02898 | 12/23/2020 | Claimant(s): Minoo Daneshrad, Minoo Daneshrad IRA
Claimant Lawyers(s): Gregory Simon
Respondent(s): Western International Securities.
Respondent Lawyers(s): Jeffrey Compton
Arbitrator(s): Kirtley M. Thiesmeyer, Steven H. Gentry, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
| | Settlement |
| 17-00102 | 12/15/2020 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ameriprise Financial Services, Li-lin Hsu
Respondent Lawyers(s): Chad Weaver, Li-lin Hsu
Arbitrator(s): Lois J. Cox, Milton N. Gross, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $0 |
| 20-01501 | 12/01/2020 | Claimant(s): Steven Ferrara
Claimant Lawyers(s): Steven Ferrara
Respondent(s): Wells Fargo Advisors, Scott Trueman
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | $0 |
