| 17-03371 | 01/07/2019 | Claimant(s): Timothy Hughes
Claimant Lawyers(s): Elizabeth Lowery
Respondent(s): Joan Mccool, SECU Brokerage Services
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Alan Stamm, Mark A. Levy, Rahsan Malik Boykin
Hearing Site: Los Angeles, CA
| | |
| 10-01085 | 04/26/2011 | Claimant(s): John Mason
Claimant Lawyers(s): John A. Mason
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): John E. Ohashi, Harold K. Hunt, Mark A. Levy
Hearing Site: Los Angeles, CA
|  | $13,000 |
| 09-05795 | 03/01/2011 | Claimant(s): Robert Axel, Wilburn McClure
Claimant Lawyers(s): Robert A. Axel, Willburn F. McClure
Respondent(s): Matthew Lowe, Raymond, James & Associates., Michael Magruder
Respondent Lawyers(s): Kelli Bullington
Arbitrator(s): Thomas E. Shuck, Suzanne Viau Chamberlain, Mark A. Levy
Hearing Site: Los Angeles, CA
| | $0 |
| 08-02896 | 06/21/2010 | Claimant(s): John Arnold, Michael Johnston, Michael Mittman
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Mark A. Levy, Bruce A. Davidson, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | |
| 08-02789 | 08/21/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Patrick J. Folan
Respondent(s): Charles Laverty
Respondent Lawyers(s): Zachary R. Smith
Arbitrator(s): Basil Lewis, Mark A. Levy, Ronald F. Rybandt
Hearing Site: Los Angeles, CA
| | |
| 06-04971 | 10/07/2008 | Claimant(s): Larry Fullmer
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): George H. Casey, Dorothy B. Strackbein, Mark A. Levy
Hearing Site: Los Angeles, CA
| | |
| 07-03225 | 09/22/2008 | Claimant(s): Elinor Nielsen, James Nielsen, James & Elinor Nielsen Living Trust
Claimant Lawyers(s): Kristin M. Cano
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Curt H. Mueller
Arbitrator(s): Barbara M. Zak, Mark A. Levy, Brent J. Rosenbaum
Hearing Site: Los Angeles, CA
| | $304,478 |
| 05-05165 | 09/08/2008 | Claimant(s): Edward Martell
Claimant Lawyers(s): Kevin J. Hizon
Respondent(s): Calvin Garvin, Rod Kamps, Financial Advisors Network.
Respondent Lawyers(s): Kevin E. Monson
Arbitrator(s): Douglas J. Rovens, Mark A. Levy, James S. Carlson
Hearing Site: Los Angeles, CA
| | |
