| 23-01637 | 10/30/2024 | Claimant(s): Austin Saremi
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kathryn Perreault
Arbitrator(s): Roberta Haft, Edith N. Dinneen, April Paradise-Switzer
Hearing Site: Los Angeles, CA
| | |
| 22-01809 | 05/31/2024 | Claimant(s): Andrew Mykletun, Einar Mykletun, Nidhi Mykletun
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): American Trust Investment Services.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Edith N. Dinneen, Maureen Weston, Delton R Henderson
Hearing Site: Los Angeles, CA
|  | Expungement |
| 23-00743 | 11/20/2023 | Claimant(s): Yang Nie
Claimant Lawyers(s): Everett Pritchard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Edith N. Dinneen
Hearing Site: Los Angeles, CA
| | |
| 22-00707 | 03/09/2023 | Claimant(s): Laura Chao
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Edith N. Dinneen
Hearing Site: Los Angeles, CA
| | |
| 22-00187 | 03/01/2023 | Claimant(s): Janet Morris, Janet Morris on Behalf of Her IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): NPB Financial Group
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Edith N. Dinneen
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 21-01929 | 11/02/2022 | Claimant(s): Richard Sholty
Claimant Lawyers(s): Zachary Morse
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Sarah Malik
Arbitrator(s): Jeffrey E. Skogsbergh, Edith N. Dinneen, David Harvey Failer
Hearing Site: Los Angeles, CA
| | |
| 21-00017 | 09/23/2021 | Claimant(s): Raymond Jallow
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Edith N. Dinneen, Robert B. Hansohn, Loreta Azarian
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 20-02988 | 03/11/2021 | Claimant(s): Troy Tremblay
Claimant Lawyers(s): Bentley P. Stansbury
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Mike West
Arbitrator(s): Edith N. Dinneen
Hearing Site: Los Angeles, CA
| | |
| 19-02741 | 03/04/2021 | Claimant(s): Jonathan Siegel
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Edith N. Dinneen, Kenneth M. Weinman, Michael John Florio
Hearing Site: Los Angeles, CA
| | Expungement |
| 18-02977 | 02/25/2019 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Bryce Shelman
Respondent(s): Gary Strange
Respondent Lawyers(s): Gary Michael Strange
Arbitrator(s): Edith N. Dinneen
Hearing Site: Raleigh, NC
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