| 16-02792 | 12/01/2017 | Claimant(s): William Roberts
Claimant Lawyers(s): William J. Roberts
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Peter D. Steinbroner, Paul Isaac Matloff, Rosalind Elaine Stevenson
Hearing Site: Los Angeles, CA
|  | $0 |
| 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 |
| 12-01319 | 12/18/2012 | Claimant(s): Arvind Kochar
Claimant Lawyers(s): Mahendr S. Kochar
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $0 |
| 09-03251 | 10/06/2010 | Claimant(s): Larry Hagman, Larry Hagman IRA CGM IRA Custodian, Larry Hagman Rollover IRA CGM, Larry Hagman & Maj I. Hagman Rev Trust, The Hagman Insurance Trust UAD 03/21/06
Claimant Lawyers(s): Philip Aidikoff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Michael W. Delaney, Kenneth E. Kreh, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $11,118,800 |
| 09-01739 | 03/17/2010 | Claimant(s): Stephen Farley
Claimant Lawyers(s): Stephen A. Farley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $150 |
| 08-02452 | 07/24/2009 | Claimant(s): Liem Leigh
Claimant Lawyers(s): Liem Leigh
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Richard J. Stall, Troy C. Sumrall, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $0 |
