| 21-00526 | 06/09/2022 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Andrew Stout, Andrew Waldbaum, Christopher Horner, Kenneth Robbins, Lisa Detanna, Michelle Moore, Raymond James Trust, N.A.
Respondent Lawyers(s): Hayden Adams, Peter S. Fruin
Arbitrator(s): Robert D. Sussin, George Herman Frisch, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
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| 19-03229 | 03/03/2022 | Claimant(s): Mary McAllister Morton, The Susie McAllister Morton Living Trust
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Anita Rae Shapiro, George Herman Frisch, Alina Landver
Hearing Site: Los Angeles, CA
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| 19-01561 | 02/10/2022 | Claimant(s): Reema Mahtani
Claimant Lawyers(s): Ryan Bakhtiari
Respondent(s): Farmers Financial Solutions
Respondent Lawyers(s): Christopher S. Maile
Arbitrator(s): George Herman Frisch
Hearing Site: Los Angeles, CA
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| 17-02495 | 01/31/2022 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): Michael Margiotta
Respondent Lawyers(s): Steve Alan Buchwalter
Arbitrator(s): Paula K. Konikoff, George Herman Frisch, Jonathan Gartner
Hearing Site: Los Angeles, CA
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| 20-00598 | 01/14/2022 | Claimant(s): Austin Park
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): Neil Katsuyama
Arbitrator(s): George Herman Frisch, Jean Chung, Ronald Grzywinski
Hearing Site: Los Angeles, CA
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| 20-02120 | 12/01/2020 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles B LaChaussee
Respondent(s): Brian Matz
Respondent Lawyers(s): Brian Joathan Matz
Arbitrator(s): George Herman Frisch
Hearing Site: Los Angeles, CA
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| 19-00422 | 03/26/2020 | Claimant(s): Solomon Campbell
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): James Row, Entoro Securities, Entoro Capital
Respondent Lawyers(s): Babak Yousefzadeh
Arbitrator(s): Mark A. Karpe, Milton N. Gross, George Herman Frisch
Hearing Site: Los Angeles, CA
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| 18-02782 | 11/25/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh, Nicholas Y. Lin
Arbitrator(s): George Herman Frisch
Hearing Site: Los Angeles, CA
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| 18-02168 | 09/25/2019 | Claimant(s): Kestra Investment Services
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): Donald Padilla
Respondent Lawyers(s): Donald George Padilla
Arbitrator(s): George Herman Frisch
Hearing Site: Los Angeles, CA
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| 18-01881 | 07/30/2019 | Claimant(s): Kim Ngo
Claimant Lawyers(s): Marc Schifanelli
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Lisa M. Bertain
Arbitrator(s): Peter J Cohen, George Herman Frisch, Stephen Laughlin Eddy
Hearing Site: Los Angeles, CA
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