| 19-01467 | 11/29/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N Will
Respondent(s): Craig Micklich
Respondent Lawyers(s): Craig William Micklich
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
| | |
| 19-00163 | 10/17/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
| | |
| 19-00975 | 08/20/2019 | Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Amanda Sotak
Respondent(s): Anthony Costanzo
Respondent Lawyers(s): Anthony L. Costanzo
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
| | |
| 18-03297 | 07/23/2019 | Claimant(s): Nathaniel Barnhart
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Elliott Finkel
Hearing Site: Phoenix, AZ
| | |
| 17-01872 | 06/03/2019 | Claimant(s): Jackie Galop, Jerry Welch, Louis Richards Estate
Claimant Lawyers(s): Jason T. Albin
Respondent(s): Brian Jackson, Ameriprise Financial Services.
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
|  | Expungement |
| 18-00719 | 03/22/2019 | Claimant(s): Peter Cunningham
Claimant Lawyers(s): Michelle Atlas
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Elliott D. Finkel
Hearing Site: Los Angeles, CA
| | |
| 18-03493 | 03/15/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N Will
Respondent(s): Sait Saraci
Respondent Lawyers(s): Sait Alex Saraci
Arbitrator(s): Elliott D. Finkel
Hearing Site: Los Angeles, CA
| | |
| 18-02110 | 03/06/2019 | Claimant(s): Duncan Rolph
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): City National Securities.
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Elliott D. Finkel
Hearing Site: Los Angeles, CA
| | |
| 17-02820 | 01/22/2019 | Claimant(s): Jon Erickson
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Elliott D. Finkel, Mark S. Priver, William Ogburn Huggins
Hearing Site: Las Vegas, NV
| | |
| 15-03238 | 12/13/2018 | Claimant(s): David Caidar, David Caidar Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Elliott D. Finkel, Constance Ellen Boukidis, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | $32,710 |
