| 23-00552 | 04/03/2024 | Claimant(s): Matthew Jung
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Rosa Linda Guadarrama
Hearing Site: San Diego, CA
| | |
| 17-01614 | 05/25/2021 | Claimant(s): Moon Choi
Claimant Lawyers(s): Robert Choi
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert D. Sussin, Rosa Linda Guadarrama, Brenda Lee James
Hearing Site: Los Angeles, CA
|  | Expungement |
| 18-04027 | 06/28/2019 | Claimant(s): Hatem Dhiab
Claimant Lawyers(s): Frances Menzer
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
| | |
| 18-00852 | 06/17/2019 | Claimant(s): Victoria Kuo
Claimant Lawyers(s): Eileen M. Kendall
Respondent(s): Curtis Ostling, Morgan Stanley
Respondent Lawyers(s): Jeffrey S. Jacobi
Arbitrator(s): Rosa Linda Guadarrama, Lori A. Coleman, George Herman Frisch
Hearing Site: Los Angeles, CA
| | $0 |
| 18-01437 | 10/26/2018 | Claimant(s): Charles Eden
Claimant Lawyers(s): Charles E. Eden
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
| | $5,921 |
| 16-02681 | 06/08/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): James Duncombe
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): A. Joel Klein, Rosa Linda Guadarrama, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
| | |
| 17-02026 | 05/07/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Allison Lintell
Respondent Lawyers(s): Jesse H. Kibort
Arbitrator(s): Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
| | |
| 15-01980 | 02/12/2018 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Thomas Jackson
Respondent Lawyers(s): Ross B. Intelisano
Arbitrator(s): Theodore G. Bradpiece, Robert F. Saint-Aubin, Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
| | |
| 15-00622 | 12/02/2016 | Claimant(s): Michael Phillip
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): A. Joel Klein, Steven A. Wawra, Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
| | |
| 11-04580 | 06/04/2014 | Claimant(s): Rick Cooper
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): Richard Lanni, Ronald Vogel, Vincent Moy
Respondent Lawyers(s): Charles LaChaussee, John L. Erikson, Mitchell J. Albert
Arbitrator(s): John B. La Rue, Rosa Linda Guadarrama, John R Sustersic
Hearing Site: Los Angeles, CA
| | $0 |
