| 16-00906 | 09/12/2017 | Claimant(s): Overview Productions.
Claimant Lawyers(s): Amanda L. Voivedich
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Robert D. Sussin, Jasmina T. Boulanger, Jack R. Goetz
Hearing Site: Los Angeles, CA
|  | $135,100 |
| 17-00678 | 09/12/2017 | Claimant(s): Merrill Knopf IRA
Claimant Lawyers(s): Merrill Knopf
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Ronald L. Cameron
Hearing Site: Los Angeles, CA
| | $1,600 |
| 16-01370 | 09/05/2017 | Claimant(s): France Pollack, France Pollack Rollover IRA, The F/T Barry Pollack Trust Profit Shari
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John S. Worden
Arbitrator(s): Richard J. Stall, Susan B. Gans-Smith, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02756 | 08/25/2017 | Claimant(s): Donald Adams, Eleanor Reed, Suvawinds.
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Christopher Goslin, David Bernstein, Domenic Morrone, Richard Nummi
Respondent Lawyers(s): David John Bernstein, Domenic James Morrone, Eric J. Dec, Richard Mark Nummi
Arbitrator(s): Robert E. Jenks, Lori A. Coleman, Joseph Francis Young
Hearing Site: Los Angeles, CA
| | $147,019 |
| 16-00826 | 08/23/2017 | Claimant(s): Charles Morgan, Charles W. Morgan Revocable Living Trust
Claimant Lawyers(s): Charles W. Morgan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie, Esq.
Arbitrator(s): Michael Harrison, Richard M. Norman, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-01608 | 08/10/2017 | Claimant(s): Josette S. Hatter IRA, Rodney R. Hatter SEP IRA account
Claimant Lawyers(s): Rodney Ray Hatter
Respondent(s): Brian Henderson, UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $0 |
| 14-02711 | 07/25/2017 | Claimant(s): ABS Manager
Claimant Lawyers(s): Mark D. Chester
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Elliott Zachary Seff, Karen A. Lockwood, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02311 | 07/20/2017 | Claimant(s): Jason Hallmark
Claimant Lawyers(s): Jason Hallmark
Respondent(s): John Rukenbrod
Respondent Lawyers(s): Gregory D. Seeley
Arbitrator(s): Cathleen M. Cobb, Robert Rosen, Marie Ann Stein
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00847 | 07/13/2017 | Claimant(s): Agatha Dancy, John Dancy
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Wedbush Securities Inc., Mark Augusta
Respondent Lawyers(s): Charles LaChaussee, David S. Harrison
Arbitrator(s): A. Joel Klein, Owen J. Thomsen, Carolyn Renee Payne
Hearing Site: Los Angeles, CA
| | $1,519,360 |
| 16-02408 | 07/07/2017 | Claimant(s): Randall Moses
Claimant Lawyers(s): Randall H. Moses
Respondent(s): Dawn Winship
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | Expungement |
