| 19-02998 | 10/14/2020 | Claimant(s): Teresa Valdez, Teresa Valdez IRA
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Alan Stamm, Susan B. Gans-Smith, Daniel A. Seiver
Hearing Site: Los Angeles, CA
|  | Dismissed by Rule 12206/12504 |
| 16-01304 | 10/06/2017 | Claimant(s): Joseph Louie, Wai Louie
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Oppenheimer & Co.., Michael Rosenmayer
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Alan Stamm, Richard N. Friedman, Cynthia Cashman Makin
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-02899 | 06/06/2016 | Claimant(s): Thao Hua
Claimant Lawyers(s): Thao Hua
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Timothy M. Huskey
Arbitrator(s): Alan Stamm
Hearing Site: Los Angeles, CA
| | $0 |
| 13-00819 | 06/11/2015 | Claimant(s): David Trotter, Elias Muasher, Eric Kovach, Issa Muasher, Jena Muasher, Joanne Trotter, Kurt Schellhas, Sommer Muasher
Claimant Lawyers(s): Seth Huberman
Respondent(s): Jeremy Kopp, Wade Bradley, Indievest Securities.
Respondent Lawyers(s): Sylvia M. Scott
Arbitrator(s): Alan Stamm, Kirtley M. Thiesmeyer, Russell T. Doe
Hearing Site: Los Angeles, CA
| | $0 |
| 14-01833 | 02/02/2015 | Claimant(s): Martha Peters, Martha Jo Peters, IRA
Claimant Lawyers(s): Martha Jo Peters
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Mack E. McCain
Arbitrator(s): Sandra L. Malek, Alan Stamm, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | $0 |
| 13-00333 | 11/06/2014 | Claimant(s): John Chase, Susan Chase, Chase Charitable Remainder Trust
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): Wells Fargo Advisors, Mark Vandeburgt
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Alan Stamm, Mary M. O'Neil, Robert Weston Armstrong
Hearing Site: Los Angeles, CA
| | $144,808 |
| 11-02801 | 07/24/2014 | Claimant(s): Byron Crawford
Claimant Lawyers(s): George S. Trevor
Respondent(s): Robert Gordon, Twenty-First Securities Corporation
Respondent Lawyers(s): Daniel Gildin
Arbitrator(s): Alan Stamm, Barbara M. Zak, David Zollman
Hearing Site: Los Angeles, CA
| | $0 |
| 13-01429 | 06/25/2014 | Claimant(s): Arnold & Selda Massion Revocable Living
Claimant Lawyers(s): Selda Massion
Respondent(s): David Williams, Morgan Peabody.
Respondent Lawyers(s): David Allen Williams, David Williams
Arbitrator(s): Alan Stamm
Hearing Site: Los Angeles, CA
| | $15,317 |
| 11-04125 | 11/20/2012 | Claimant(s): Matt Correia, Dapelo & Correia Capital Investors
Claimant Lawyers(s): Matt Correia
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Alan Stamm, Theodore G. Bradpiece, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $0 |
| 10-03222 | 10/13/2011 | Claimant(s): Anthony Hanna, Debra Hanna, 2001 Anthony J. and Debra F. Revocable T
Claimant Lawyers(s): Irwin Stein
Respondent(s): Dale Hall, David Smith, Kathleen Heshelow, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities.
Respondent Lawyers(s): David L. Smith, H Thomas Fehn, Orly Davidi
Arbitrator(s): Alan Stamm, A. Joel Klein, Russell T. Doe
Hearing Site: Los Angeles, CA
| | $0 |
