| 23-02061 | 02/20/2024 | Claimant(s): Edward Yoon
Claimant Lawyers(s): Elizabeth Lowery
Respondent(s): Diana Offen, Mehdi Famili
Respondent Lawyers(s): Diana Offen, Mehdi Famili
Arbitrator(s): Mary M. O'Neil, Robert C. Albini, Daniel Farid Yasharel
Hearing Site: Los Angeles, CA
|  | Expungement |
| 23-00234 | 11/17/2023 | Claimant(s): Jeanne Mount
Claimant Lawyers(s): Jeanne Mount
Respondent(s): Brooke Spicer, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Mary M. O'Neil, Kendall C. Reed, Maxx O Brawer
Hearing Site: Los Angeles, CA
| | $0 |
| 23-01826 | 11/15/2023 | Claimant(s): Michael West
Claimant Lawyers(s): Michael West
Respondent(s): Charles Schwab & Co.., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Greg Scanlon, Randi P. Spallina
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $300 |
| 22-02235 | 07/07/2023 | Claimant(s): Andrew Kuo, Bradley Kaiser
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Western International Securities.
Respondent Lawyers(s): Donald Bizub
Arbitrator(s): Mary M. O'Neil, Kirtley M. Thiesmeyer, Sidney Kinji Kanazawa
Hearing Site: Los Angeles, CA
| | |
| 22-02879 | 06/02/2023 | Claimant(s): Sofi Securities LLC
Claimant Lawyers(s): Michele R Uunderwood
Respondent(s): Andre Ismailyan
Respondent Lawyers(s): Andre Ismailyan
Arbitrator(s): Cynthia B. Stone, Mary M. O'Neil, Ethan Joseph Brown
Hearing Site: Los Angeles, CA
| | Settlement |
| 21-02816 | 03/02/2023 | Claimant(s): Bruce Cullen, Sr. and Rosemarie Cullen
Claimant Lawyers(s): Philip L. Vujanov
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Barbara M. Zak, Benjamin F. Breslauer, Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $1,483,670 |
| 22-01067 | 01/18/2023 | Claimant(s): Arlo Sullivan
Claimant Lawyers(s): Zachary Morse
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | |
| 20-02914 | 10/01/2021 | Claimant(s): Ronald Lane, The Ronald W. Lane Rollover IRA
Claimant Lawyers(s): Ronald W. Lane
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | Expungement |
| 19-03307 | 09/30/2021 | Claimant(s): Brian Dornellas
Claimant Lawyers(s): David Liebrader
Respondent(s): George Schmidt
Respondent Lawyers(s): Robert S. Larsen
Arbitrator(s): Barbara M. Zak, Mary M. O'Neil, Robert E. Jenks
Hearing Site: Las Vegas, NV
| | $525,000 |
| 20-02928 | 07/30/2021 | Claimant(s): Daniel Avan
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | |
