| 18-04167 | 10/07/2019 | Claimant(s): Amy Jiau, Jih Chyi Leu
Claimant Lawyers(s): Wileen Leu
Respondent(s): Cindy Chen, HSBC Securities (USA) Inc.
Respondent Lawyers(s): Emily C. Grimm
Arbitrator(s): Edward A. Trabin, Arthur T. Berggren, Nir Hanien
Hearing Site: Los Angeles, CA
|  | $0 |
| 17-02377 | 09/26/2018 | Claimant(s): Keith Yun, Nancy Yun
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): David J. Anderson, Arthur T. Berggren, Michael M. Hachigian
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00399 | 06/08/2018 | Claimant(s): Robynn Dorffi, Wesley Dorffi, Dorffi Family Trust dated 12/19/2003
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): David Snyder, Morgan Stanley & Co.
Respondent Lawyers(s): Lisa Bertain
Arbitrator(s): Arthur T. Berggren, Michael John Florio, Michael Richard Henri Post
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02037 | 01/03/2018 | Claimant(s): Michael Sexton
Claimant Lawyers(s): John D. Singer
Respondent(s): Brett Grimes
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Arthur T. Berggren, Kevin Joseph Pilon, H. Stuart Waxman
Hearing Site: Los Angeles, CA
| | |
| 14-03220 | 05/18/2017 | Claimant(s): Angelina Gerber, Harvey Gerber, H&A Gerber Trust dated 7/5/2005, The Lambert Family Trust dd 11/4/2007
Claimant Lawyers(s): Philip Aidikoff, Ryan K. Bakhtiari
Respondent(s): Charles Laverty, Oppenheimer & Co.., UBS Financial Services Inc.
Respondent Lawyers(s): Gary R. Wallace, Neal S. Robb, Robert B. Ericson
Arbitrator(s): Elliott Zachary Seff, Arthur T. Berggren, Cherie S. Lewis
Hearing Site: Los Angeles, CA
| | $1,379,400 |
| 15-00624 | 07/22/2016 | Claimant(s): Laura Bell
Claimant Lawyers(s): David Lefkowitz
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Arthur T. Berggren, Lawrence Yaeger, Robert C. Albini
Hearing Site: Los Angeles, CA
| | $625,000 |
| 15-01403 | 06/14/2016 | Claimant(s): Lisa Detanna
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Arthur T. Berggren
Hearing Site: Los Angeles, CA
| | |
| 14-02615 | 12/29/2015 | Claimant(s): Paul Heimberg, 1650 Sunflower 12, Warminster Business Center TIC 19, Paul A. Heimberg Trust dated Aug.22,2007
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Rabinder Sekhon, Cincinnati Analysts.
Respondent Lawyers(s): Jeffrey E. Fields, Jordan D. Maglich
Arbitrator(s): Herbert Leslie Greenberg, Arthur T. Berggren, Robert Dean McKinley
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-01142 | 10/23/2015 | Claimant(s): Eugene Elliott, Shawn Elliott, Genraza LLC, The Elliott Family Trust DTD 9-17-86
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): Arthur T. Berggren, Janice A. Salter, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | $1,188,850 |
| 13-03576 | 07/08/2015 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Ken M. Fitzgerald
Respondent(s): James Wohlford, Penney Sick
Respondent Lawyers(s): D. Greg Durbin, Ken M. Fitzgerald
Arbitrator(s): Arthur T. Berggren, Kevin Joseph Pilon, Ethan Joseph Brown
Hearing Site: Los Angeles, CA
| | |
