| 16-00340 | 12/30/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy Will
Respondent(s): Andrew Goodman
Respondent Lawyers(s): Andrew Goodman
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 15-01169 | 12/19/2016 | Claimant(s): Dolores Hsu, Vadim Hsu
Claimant Lawyers(s): Morse Taylor
Respondent(s): Erin McNelly, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Scott E. Rahn
Arbitrator(s): David J. Anderson, Robert A. Lombardi, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
|  | $31,682 |
| 13-03659 | 03/08/2016 | Claimant(s): Barbara Klotz, Richard Klotz
Claimant Lawyers(s): Anthony Reguero, M. Ryan DiMaria
Respondent(s): Gary Roney, Jack Hartfelder, Morgan Stanley
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): David J. Anderson, A. Joel Klein, Terry D. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-02168 | 11/13/2015 | Claimant(s): Global eBusiness Services
Claimant Lawyers(s): Syed Nazim Ali
Respondent(s): Interactive Brokers LLC.
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): David J. Anderson, Edward A. Trabin, W. Alex King
Hearing Site: Los Angeles, CA
| | $0 |
| 14-01406 | 01/15/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Kevin Monaco
Respondent Lawyers(s): Kevin Michael Monaco
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 14-01731 | 10/01/2014 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 13-02537 | 10/01/2014 | Claimant(s): Steven Hall
Claimant Lawyers(s): Steven H. Hall
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-00221 | 09/18/2014 | Claimant(s): Thomas Fields
Claimant Lawyers(s): David Wakukawa
Respondent(s): Patricia Taylor, Robert Taylor, RT Enterprises, The Taylor Family Trust DTD 03/10/1992
Respondent Lawyers(s): Robert Taylor
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-01039 | 08/28/2014 | Claimant(s): Norman Frey, Rambling River Ranches.
Claimant Lawyers(s): Bradd L. Milove, Jacob Pyle
Respondent(s): Sagepoint Financial., Robert Achurra, AIG Financial Advisors.
Respondent Lawyers(s): Jesse B. Simpson
Arbitrator(s): David J. Anderson, Linda Jane Jones, Richard R. Edmister
Hearing Site: Las Vegas, NV
| | $731,000 |
| 11-04733 | 06/16/2014 | Claimant(s): Kwan Yoo
Claimant Lawyers(s): Kwan Kun Yoo
Respondent(s): Mooho Lee, Young Seo, Ace Diversified Capital., Ace Securities.
Respondent Lawyers(s): Marc I. Zussman
Arbitrator(s): David J. Anderson, Erik R. Siering, Michael John Florio
Hearing Site: Los Angeles, CA
| | $0 |
