| 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 |
| 18-00344 | 08/28/2018 | Claimant(s): Ralph Linzmeier
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 18-00316 | 07/25/2018 | Claimant(s): Jaye Oppedahl
Claimant Lawyers(s): Jaye Clifford Oppedahl
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): David J. Anderson, Mark S. Priver, Kenneth Charles Vislocky
Hearing Site: Los Angeles, CA
| | |
| 18-00773 | 07/10/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Andrew Martino
Respondent Lawyers(s): Andrew J. Martino
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 17-02891 | 01/29/2018 | Claimant(s): Dan Gallagher
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 16-02726 | 10/13/2017 | Claimant(s): UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): Michael T. West
Respondent(s): Alex Lindig, Andrew Heringman, Elena Macedonio, Garrett Donahue, Silvia Donahue, Andu Ltd/Lindig Holding, Andu Ltd/Pungus Donahue Holding, Andu Ltd/Pungus Macedonio Holding, Andu Ltd/Pungus/Garrett Donahue Holdi, Andu Ltd/Pungus/Lindig Grandchildren, Andu Ltd.LP/Macedonio Holding, G.P. Pungus, GP Pungus Lindig Account, GP Pungus/General Separate Account, GP Pungus, Ltd., GP Pungus/Donahue Account, GP Pungus/Macedonio Account, GP Pungus/LP Lindig Grandchildren's, Mace Enterprises, Sunwet Enterprises., et al
Respondent Lawyers(s): Jonathan W. Evans
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00039 | 08/18/2017 | Claimant(s): Joseph Focil
Claimant Lawyers(s): Augusto Focil
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): David J. Anderson, Mario H. Metzger, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | |
| 16-03327 | 07/14/2017 | Claimant(s): Morgan Stanley, Morgan Stanley SB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Michael McGraw
Respondent Lawyers(s): Michael James McGraw
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 16-03111 | 06/12/2017 | Claimant(s): Richard Bertain
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane, Lesley V. Tepper
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 16-00677 | 03/27/2017 | Claimant(s): Ruby Maddox
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates., Kathleen Tarr
Respondent Lawyers(s): G. Thomas Fleming, Paul W. Thomas
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
