| 21-01864 | 12/19/2022 | Claimant(s): Susan Hebert, on Behalf of IRA
Claimant Lawyers(s): Susan Hebert
Respondent(s): LPL Financial LLC, Howard Romero
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Robert D. Sussin, Theodore G. Bradpiece, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
|  | Expungement |
| 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 |
| 09-05536 | 08/11/2010 | Claimant(s): Alfred Davenport Jr., A.L. Davenport Trust
Claimant Lawyers(s): Robert L. Risley
Respondent(s): Bjorn Hauerbach, Donald Gorsch, Edward Tom, UBS Financial Services Inc., UBS
Respondent Lawyers(s): Corporate Officer, Neal S. Robb
Arbitrator(s): Theodore G. Bradpiece, Kenneth E. Owen, Cathleen M. Cobb
Hearing Site: Los Angeles, CA
| | $0 |
