| 18-04325 | 09/19/2019 | Claimant(s): Alexandro Filippini, Iaian Filippini
Claimant Lawyers(s): Steve Young
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Joseph Ehrlich
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 18-01515 | 08/08/2019 | Claimant(s): Jay Hu
Claimant Lawyers(s): Jay Z Hu
Respondent(s): Regal Securities.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Erik R. Siering, Andrew M. Mintzer, David L. Moran
Hearing Site: Las Vegas, NV
|  | $0 |
| 17-00407 | 10/15/2018 | Claimant(s): Marcia Berger, The Marcia Berger Brokerage Account, and, Marcia Berger IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Elliott M. Rector
Arbitrator(s): Erik R. Siering, Robert F. Saint-Aubin, Damon Lovette Lewis
Hearing Site: Los Angeles, CA
| | $0 |
| 17-03271 | 08/08/2018 | Claimant(s): Edward Montanez
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Erik R. Siering
Hearing Site: Las Vegas, NV
| | |
| 17-02527 | 03/28/2018 | Claimant(s): Rafael De Vengoechea
Claimant Lawyers(s): Owen Harnett
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 16-00896 | 10/09/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kevin J. Woods
Respondent(s): Ryan Capatosto
Respondent Lawyers(s): Ryan Lawrence Capatosto
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 14-03682 | 12/28/2016 | Claimant(s): Kevin Dwyer
Claimant Lawyers(s): Zshonette L. Reed
Respondent(s): Cullen Crabbe, Stephen Kipp, Kipp Financial Group.
Respondent Lawyers(s): Cullen Crabbe, H. Thomas Fehn
Arbitrator(s): Elliott David Finkel, Erik R. Siering, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | $0 |
| 14-00349 | 10/06/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Scott Thompson
Respondent Lawyers(s): Scott Alexander Thompson
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 12-02997 | 08/28/2014 | Claimant(s): Martha Meripol, Ronald Meripol, Martha L. Meripol IRA, Ronald P. Meripol IRA
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): LPL Financial LLC, Ewald Vonkanel
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Ralph H. Erickson, Erik R. Siering, Darrell Thomas Reed
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04733 | 06/16/2014 | Claimant(s): Kwan Yoo
Claimant Lawyers(s): Kwan Kun Yoo
Respondent(s): Mooho Lee, Young Seo, Ace Diversified Capital., Ace Securities.
Respondent Lawyers(s): Marc I. Zussman
Arbitrator(s): David J. Anderson, Erik R. Siering, Michael John Florio
Hearing Site: Los Angeles, CA
| | $0 |
