| 19-01927 | 05/27/2020 | Claimant(s): David Moore, David L. Moore IRA
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Joyce L. Hurley, Alan M. Rosen, Robert C. Albini
Hearing Site: Los Angeles, CA
|  | Dismissed by Rule 12206/12504 |
| 13-00901 | 11/22/2019 | Claimant(s): Yong Kim
Claimant Lawyers(s): Ken Levine
Respondent(s): Eul Choi, Kyung Cho, SH Investment & Securities
Respondent Lawyers(s): Marc A. Oliver, Robert K. Lu
Arbitrator(s): Vincent J. Natoli, Alan M. Rosen, Rosalind Anne Salzman
Hearing Site: Los Angeles, CA
| | |
| 18-03915 | 08/13/2019 | Claimant(s): Stuart Tsujimoto
Claimant Lawyers(s): Nathan Lamb
Respondent(s): Cetera Advisor Networks Llc
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Alan M. Rosen
Hearing Site: Los Angeles, CA
| | |
| 17-02024 | 07/03/2019 | Claimant(s): Dorothy Barone, as trustee
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Andrew Brown
Respondent Lawyers(s): Andrew Owen Brown
Arbitrator(s): Alan M. Rosen
Hearing Site: Los Angeles, CA
| | $76,781 |
| 16-03273 | 08/10/2018 | Claimant(s): Rosemary Perera, Rosemary Perera IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): Syndicated Capital.
Respondent Lawyers(s): Natalie N. FitzGerald
Arbitrator(s): Richard J. Stall, Alan M. Rosen, Barry A. Fisher
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 17-01764 | 07/27/2018 | Claimant(s): James Patton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Alan M. Rosen
Hearing Site: Los Angeles, CA
| | |
| 15-00829 | 06/16/2016 | Claimant(s): Judith De Anda, The Regina G. Doyle Separate Property Re
Claimant Lawyers(s): Judith De Anda
Respondent(s): UBS Financial Services Inc., Teresa Harmon
Respondent Lawyers(s): Erin Weesner-McKinley, Patrick R. Mahoney
Arbitrator(s): Alan M. Rosen, Steven A. Wawra, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | $0 |
| 14-01604 | 02/01/2016 | Claimant(s): Marlene Lewis, Maxim Levkov, Artek Media International Inc.
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ronald Wood
Arbitrator(s): Martin Olinick, Alan M. Rosen, David Paul Beauvais
Hearing Site: Los Angeles, CA
| | $825,600 |
| 14-00029 | 12/03/2015 | Claimant(s): Irving Nast
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Brian Hagerman, John Matthews, Equities Trading Corporation, Global Arena Capital Corp, Joseph Gunnar & Co.
Respondent Lawyers(s): John E. Lawlor, Ronald S. Herzog
Arbitrator(s): Edward J. Costello, Alan M. Rosen, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
| | $0 |
| 13-02576 | 08/06/2014 | Claimant(s): Lisa Detanna
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Alan M. Rosen
Hearing Site: Los Angeles, CA
| | |
