| 23-01761 | 07/16/2024 | Claimant(s): Gabriel Jaramillo
Claimant Lawyers(s): Gabriel Jaramillo
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Olivia J. Valentine
Hearing Site: Los Angeles, CA
|  | Dimissed by Rule 12504(b) |
| 23-00448 | 06/26/2024 | Claimant(s): Jennifer Gold
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Alex Chivarsky, UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman, Omar Perez
Arbitrator(s): Robert B. Hansohn, Brent J. Rosenbaum, Farshad Ghodoosi
Hearing Site: Los Angeles, CA
| | Expungement |
| 23-01752 | 06/14/2024 | Claimant(s): Steven Smith
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Joyce L. Hurley, Dana L. Bigman, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 22-01809 | 05/31/2024 | Claimant(s): Andrew Mykletun, Einar Mykletun, Nidhi Mykletun
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): American Trust Investment Services.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Edith N. Dinneen, Maureen Weston, Delton R Henderson
Hearing Site: Los Angeles, CA
| | Expungement |
| 22-01426 | 05/24/2024 | Claimant(s): Donald Davis, Marianne Mackley, Stephen Lim, Sunder Nambiar
Claimant Lawyers(s): Nico Banks
Respondent(s): Larry Law, Richard Sandfer
Respondent Lawyers(s): Larry Richard Law, Patrick R. Mahoney
Arbitrator(s): Anthony D. DeToro, Richard Maurice Robinson, Luis Sanchez Espinoza
Hearing Site: Los Angeles, CA
| | $1,301,030 |
| 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 |
| 22-01848 | 04/25/2024 | Claimant(s): X
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Edward A. Trabin, Isaac K. Tasinga, Gecole L. Harley
Hearing Site: Los Angeles, CA
| | $0 |
| 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 |
| 23-00395 | 04/08/2024 | Claimant(s): Ve Ngo
Claimant Lawyers(s): Emahn Counts
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Steven Gourley
Hearing Site: Los Angeles, CA
| | $134,751 |
| 23-01386 | 03/28/2024 | Claimant(s): Hua Fan
Claimant Lawyers(s): Hua Fan
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffrey D. Rogers
Arbitrator(s): Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
| | $0 |
