| 21-01271 | 01/26/2024 | Claimant(s): Katharine Constable
Claimant Lawyers(s): Andrew D. O'Toole
Respondent(s): Frank Epinger, J.P. Morgan Securities, Jacqueline Rahn, Jonathan Galan, Trevor Rahn
Respondent Lawyers(s): David Harrison, Dexter B. Johnson, Eugene L. Small, Michael M. Wilson
Arbitrator(s): Diane Ciccone, Steven R. Rolnick, David Adams Reif
Hearing Site: Hartford, CT
|  | Expungement |
| 23-00712 | 12/21/2023 | Claimant(s): Kenneth Park
Claimant Lawyers(s): David Harrison
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 22-00948 | 12/21/2022 | Claimant(s): Nick Alexander
Claimant Lawyers(s): David Harrison
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
| | |
| 21-01193 | 09/28/2022 | Claimant(s): Justin Fraser
Claimant Lawyers(s): David Harrison
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Lawrence R. Maxwell, Jeffrey Ackermann, Deborah Johns Tatum
Hearing Site: New Orleans, LA
| | $452,817 |
| 20-02608 | 11/17/2021 | Claimant(s): Jeremy Dicker
Claimant Lawyers(s): David Harrison
Respondent(s): MML Investors Services
Respondent Lawyers(s): Elliott J. Stein
Arbitrator(s): Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
| | |
| 20-01969 | 08/18/2021 | Claimant(s): David Dubin
Claimant Lawyers(s): David Harrison
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 19-03652 | 04/13/2021 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 20-02584 | 03/23/2021 | Claimant(s): Michael Jeppson
Claimant Lawyers(s): David Harrison
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 20-03133 | 03/19/2021 | Claimant(s): Jeffrey Dorman
Claimant Lawyers(s): David Harrison
Respondent(s): Dorman Skorheim Wealth Management LLC
Respondent Lawyers(s): Jeffrey J. Dorman
Arbitrator(s): Alan Stamm
Hearing Site: Los Angeles, CA
| | |
| 19-03651 | 12/17/2020 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
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