| 20-02030 | 06/30/2022 | Claimant(s): Irwin Schaeffer, Schaeffer Family Trust
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Joseph Winter, David Harvey Failer, Hiro N Aragaki
Hearing Site: Los Angeles, CA
|  | $0 |
| 20-01099 | 06/16/2022 | Claimant(s): Vlhaka L.P.
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Alan M. Rosen, Constance Ellen Boukidis, David K. Slay
Hearing Site: Los Angeles, CA
| | Expungement |
| 22-00237 | 06/16/2022 | Claimant(s): Andrew Forwand
Claimant Lawyers(s): Andrew Forwand
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg M. Scanlon
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $9,650 |
| 20-03532 | 06/15/2022 | Claimant(s): Jeffrey Kane, Marsha Kane, Jeffrey Kane IRA, Jeffrey Kane Roth IRA, Marsha Kane IRA, Marsha Kane Roth IRA, Kane Family Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-03990 | 06/06/2022 | Claimant(s): Pamela McCormick, Rick McCormick, The Lindsay McCormick 2013 Gift Trust
Claimant Lawyers(s): Jeffrey Erez, Stefan Apotheker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Robert B. Hansohn, Anita Teresa Hayden, Betty Jean Jackson
Hearing Site: Los Angeles, CA
| | $1,181,720 |
| 21-00004 | 06/02/2022 | Claimant(s): Paul R. Hutchinson SEP IRA, Paul Hutchinson Jr Living Tr DTD 6/26/91
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kathleen Salvaty
Arbitrator(s): Michael John Florio, Joseph Francis Young, Julia Ulloa
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-03098 | 04/29/2022 | Claimant(s): Mau Cong
Claimant Lawyers(s): Mau Cong
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Michael John Florio
Hearing Site: Los Angeles, CA
| | $0 |
| 20-03808 | 04/05/2022 | Claimant(s): Gabrielle Sigel, Jacqueline Rosen, Lawrence Osman, Rochelle Seeman, Osman Family Trust
Claimant Lawyers(s): Katherine A. Petti
Respondent(s): J.P. Morgan Securities, Sherod Hanson
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Benjamin F. Breslauer, Virginia Alice Suveiu, Barry D. Kaye
Hearing Site: Los Angeles, CA
| | $0 |
| 21-02755 | 03/30/2022 | Claimant(s): Hope DeBorse
Claimant Lawyers(s): Hope DeBorse
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Shea O. Hicks
Arbitrator(s): Thomas E Shuck
Hearing Site: Los Angeles, CA
| | $0 |
| 19-02084 | 03/29/2022 | Claimant(s): Tian Lu
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Smansa Chu, Cetera Investment Services LLC
Respondent Lawyers(s): Christina Z. Vourakis
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | Expungement |
