| 23-01752 | 06/14/2024 | Claimant(s): Steven Smith
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Joyce L. Hurley, Dana L. Bigman, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
|  | Dismissed by Rule 12206 |
| 23-01493 | 05/17/2024 | Claimant(s): Glen Strauss
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services, Lehman Brothers Inc
Respondent Lawyers(s): Christopher K. Kiplok, Geoff Beckham
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | |
| 23-02473 | 03/15/2024 | Claimant(s): Marie Steinman
Claimant Lawyers(s): Robert J. Girard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | |
| 23-00327 | 07/10/2023 | Claimant(s): David Kelly, Elizabeth Ann Kelly
Claimant Lawyers(s): David M Kelly
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | $0 |
| 22-00291 | 12/19/2022 | Claimant(s): Kerry Moy
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | |
| 22-00297 | 12/14/2022 | Claimant(s): Justin Lowy
Claimant Lawyers(s): Craig R. Bockman
Respondent(s): Dean Nakata, Estate of Miyoko Nakata, Nakata Family Living Trust dtd 4/29/04
Respondent Lawyers(s): Kalju Nekvasil
Arbitrator(s): Robert D. Sussin, Joyce L. Hurley, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-00892 | 12/14/2022 | Claimant(s): Travis Allen
Claimant Lawyers(s): Sarah Ali Burroughs
Respondent(s): Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | |
| 22-00398 | 10/14/2022 | Claimant(s): Michael Valiente
Claimant Lawyers(s): Zachary Morse
Respondent(s): World Group Securities.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | |
| 22-00281 | 09/09/2022 | Claimant(s): Gerald Mars
Claimant Lawyers(s): Zachary Morse
Respondent(s): A.G.P. / Alliance Global Partners
Respondent Lawyers(s): John Venezia
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | |
| 20-03553 | 08/10/2022 | Claimant(s): Chukwuemeka Okafor
Claimant Lawyers(s): Samuel Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Joyce L. Hurley, Joseph C. Watson, Aaron Nathan Shechet
Hearing Site: Los Angeles, CA
| | $0 |
