| 22-02462 | 01/05/2024 | Claimant(s): Ava Naeini
Claimant Lawyers(s): Ava Naeini
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Elliott Finkel, Joseph Winter, Robert Charles Pearman
Hearing Site: Los Angeles, CA
|  | $0 |
| 22-02660 | 09/08/2023 | Claimant(s): Jacob Williams
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Joseph Winter, Anita Teresa Hayden, Jonathan Gartner
Hearing Site: Los Angeles, CA
| | |
| 22-01667 | 06/09/2023 | Claimant(s): Jacob Tiab
Claimant Lawyers(s): Jacob Tiab
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Joseph Winter, H. Stuart Waxman, Jeffrey Dwayne Robertson
Hearing Site: Los Angeles, CA
| | $0 |
| 22-00164 | 05/05/2023 | Claimant(s): Steven Kurzet
Claimant Lawyers(s): Scott A. Shanes
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Joseph Winter, Jay H. Feldstein, Richard Kent Mahrle
Hearing Site: Las Vegas, NV
| | $0 |
| 22-01292 | 04/05/2023 | Claimant(s): Estate of Robert G. Gard III
Claimant Lawyers(s): Randy Scott Erlewine
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline Karama
Arbitrator(s): Joseph Winter, Lisa Suzette Hart, Kathy Bazoian Phelps
Hearing Site: Los Angeles, CA
| | $456,310 |
| 21-03046 | 02/10/2023 | Claimant(s): Anne Holland-McCowan
Claimant Lawyers(s): Aaron Lee Arndt
Respondent(s): Andrew Hess, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Brian T. Burns
Arbitrator(s): Joseph Winter, Kenneth M. Weinman, Adam Michael Porter
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-02030 | 06/30/2022 | Claimant(s): Irwin Schaeffer, Schaeffer Family Trust
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Joseph Winter, David Harvey Failer, Hiro N Aragaki
Hearing Site: Los Angeles, CA
| | $0 |
| 21-00933 | 09/30/2021 | Claimant(s): Vineeta Prasad
Claimant Lawyers(s): Vineeta Prasad
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Michael Harrison, Joseph Winter, Deana La Barbera
Hearing Site: Los Angeles, CA
| | |
| 20-02195 | 02/10/2021 | Claimant(s): Jennifer Scheffer, Jimmy Epley
Claimant Lawyers(s): Jimmy D. Epley
Respondent(s): Paul Kuhn
Respondent Lawyers(s): Joanna M. Myers
Arbitrator(s): Joseph Winter
Hearing Site: Las Vegas, NV
| | $0 |
| 17-00294 | 05/17/2019 | Claimant(s): Harold Hermelee, Ian Smith, Peter Harrison, Tad Dahlke
Claimant Lawyers(s): Joel Levin
Respondent(s): Gary Wunderlich, Lionel Conacher, Philip Zanone, Wunderlich Investment., Wunderlich Securities.
Respondent Lawyers(s): Mark Griffin
Arbitrator(s): Joseph Winter, Michael John Florio, Alan Stanley Petlak
Hearing Site: Los Angeles, CA
| | |
