| 23-01189 | 07/25/2024 | Claimant(s): Nir Haklili, Nir Haklili IRA
Claimant Lawyers(s): Nir Haklili
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
|  | Expungement |
| 21-01800 | 08/24/2023 | Claimant(s): Rudolph Baker
Claimant Lawyers(s): Rudolph Baker
Respondent(s): E*Trade Securities LLC, TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher, John Bersin
Arbitrator(s): Joseph C. Watson, W. Alex King, Richard Andrew Roupoli
Hearing Site: Los Angeles, CA
| | $0 |
| 19-02832 | 11/07/2022 | Claimant(s): Abrahm Family Trust
Claimant Lawyers(s): Jacob Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Joseph C. Watson, Robert B. Hansohn, Michael John Florio
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-02838 | 09/22/2022 | Claimant(s): Fabrice Dejean
Claimant Lawyers(s): Fabrice Dejean
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Anthony D. DeToro, Joseph C. Watson, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
| | $0 |
| 20-03553 | 08/10/2022 | Claimant(s): Chukwuemeka Okafor
Claimant Lawyers(s): Samuel Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Joyce L. Hurley, Joseph C. Watson, Aaron Nathan Shechet
Hearing Site: Los Angeles, CA
| | $0 |
| 20-00707 | 11/17/2021 | Claimant(s): Faramaz Bardi, Laleh Bardi, The Bardi Family Trust
Claimant Lawyers(s): Marc Irwin Zussman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer N. Lamirand
Arbitrator(s): Barbara M. Zak, Joseph C. Watson, Maggie Soleimani
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-02243 | 07/21/2021 | Claimant(s): Doris Chien, John Chien
Claimant Lawyers(s): John Y. Chien
Respondent(s): J.P. Morgan Securities, Jason Jensen, Tim Lippincott
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Joseph C. Watson, Daniel David Kopman, Howard Clark Posner
Hearing Site: Los Angeles, CA
| | $0 |
| 20-01289 | 09/09/2020 | Claimant(s): Gail Levee, The Gail Levee Trust
Claimant Lawyers(s): Philip L. Vujanov
Respondent(s): Jennifer Rosenblum, Mesirow Financial.
Respondent Lawyers(s): James L. Kopecky
Arbitrator(s): Elliott Finkel, Joseph C. Watson, Sean Anthony Richardson
Hearing Site: Los Angeles, CA
| | $0 |
| 19-00244 | 07/07/2020 | Claimant(s): Eldar Brodski Zardinvsky, Ester Brodski, Ruben Brodski, Yehonathan Brodski, Eb Books, Eb Design, Eb Imports, Eb Online, Eldar Brodski Inc., Lazdar, Ruben Brodski., Valley West Realty., Y Capital Advisors
Claimant Lawyers(s): David B Gordon
Respondent(s): Citigroup Global Markets., Canaccord Genuity LLC, Citadel Securities LLC, Citi Order Routing And Execution, G1 Execution Services, Virtu Americas LLC
Respondent Lawyers(s): Adam M. Kauff, John A. Vassallo, Joshua D. Liston, Michael V. Rella, Nicholas M. Gross
Arbitrator(s): Joseph C. Watson, James Warnick Coupe, Aaron Nathan Shechet
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01950 | 05/14/2019 | Claimant(s): Beverly Symms, William and Beverly Symms Living Trust
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Gregory Hill, Royal Alliance Associates., Ronald Knight
Respondent Lawyers(s): Amir Tadjedin, Ronald Arthur Knight
Arbitrator(s): Neil S. Jasper, Joseph C. Watson, Lisa Suzette Hart
Hearing Site: Los Angeles, CA
| | Expungement |
