| 23-02749 | 09/17/2024 | Claimant(s): James Simmons
Claimant Lawyers(s): Harris Freedman
Respondent(s): FSC Securities Corporation, Brookstreet Securities Corporation, National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels, Jennifer R. Cox, Julie Mains
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 23-02897 | 09/06/2024 | Claimant(s): Timothy Ackerman
Claimant Lawyers(s): Austin Davis
Respondent(s): Guardian Investor Services LLC
Respondent Lawyers(s): John Walter
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 23-02816 | 07/01/2024 | Claimant(s): Tsz Kwan Lau
Claimant Lawyers(s): Christina Vouakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 23-02832 | 04/02/2024 | Claimant(s): Richard Skelton
Claimant Lawyers(s): Chad Weaver
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 22-01629 | 01/03/2024 | Claimant(s): Lu Yu
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 23-01465 | 12/18/2023 | Claimant(s): Nazeeh Aranki
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 22-00084 | 07/31/2023 | Claimant(s): Eric Garofano, The Advisory and Management Group.
Claimant Lawyers(s): Aaron Israels
Respondent(s): Sean McDevitt
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Michael Harrison, Richard Maurice Robinson, McKinley Perkins
Hearing Site: Los Angeles, CA
|  | Expungement |
| 22-02371 | 02/24/2023 | Claimant(s): Lewis Steward
Claimant Lawyers(s): Lewis Steward
Respondent(s): Richard Sanders
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | $300 |
| 22-00414 | 11/07/2022 | Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Mario H. Metzger, Michael Harrison, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 20-03717 | 08/19/2022 | Claimant(s): Greg Meyer
Claimant Lawyers(s): Noah Green
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Michael Harrison, Russell T. Doe, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | Expungement |
