| 19-02084 | 03/29/2022 | Claimant(s): Tian Lu
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Smansa Chu, Cetera Investment Services LLC
Respondent Lawyers(s): Christina Z. Vourakis
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
|  | Expungement |
| 19-01231 | 12/01/2021 | Claimant(s): Mamdoh Abas
Claimant Lawyers(s): Darren Veracruz
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Roberta Haft, Michael Harrison, Nicholes W. Ghnouly
Hearing Site: Los Angeles, CA
| | |
| 18-00553 | 09/30/2021 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Dean Decker
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Michael Harrison, Laurent C. Vonderweidt, Cynthia Cashman Makin
Hearing Site: Los Angeles, CA
| | |
| 21-00933 | 09/30/2021 | Claimant(s): Vineeta Prasad
Claimant Lawyers(s): Vineeta Prasad
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Michael Harrison, Joseph Winter, Deana La Barbera
Hearing Site: Los Angeles, CA
| | |
| 20-02475 | 07/08/2021 | Claimant(s): Angelo Pastorino
Claimant Lawyers(s): James G. Morris
Respondent(s): Christopher Miller, Raymond Sun, Trevor Gordon, Sandlapper Securities, Sandlapper Student Housing LLC, Specialized Wealth Management
Respondent Lawyers(s): Cameron S. Matheson, Sylvia M. Scott, Trevor L. Gordon
Arbitrator(s): Steven Gourley, Michael Harrison, Peggy Jane Fisher
Hearing Site: Los Angeles, CA
| | $0 |
| 20-02154 | 01/26/2021 | Claimant(s): James Regitz Jr.
Claimant Lawyers(s): Harris Freedman
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 19-03113 | 10/07/2020 | Claimant(s): Matthew Yonally
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 19-03557 | 09/16/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Burns
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 20-00120 | 08/20/2020 | Claimant(s): Terance Power
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 18-03049 | 04/09/2019 | Claimant(s): Richard Zinman
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Katherine L. Handy
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
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