| 17-00430 | 03/05/2018 | Claimant(s): Alan Fields
Claimant Lawyers(s): Jon E. Drucker
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Walton
Arbitrator(s): John E. Ohashi, Neil S. Jasper, Michael John Florio
Hearing Site: Los Angeles, CA
|  | $0 |
| 16-02678 | 01/03/2018 | Claimant(s): Richard Long
Claimant Lawyers(s): I. Donald Weissman
Respondent(s): J.P. Morgan Securities, Ruben Cavada
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Elliott David Finkel, Michael John Florio, John R Sustersic
Hearing Site: Los Angeles, CA
| | $0 |
| 17-00532 | 12/28/2017 | Claimant(s): Aaron Delsignore
Claimant Lawyers(s): Cory Braddock
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Erin Weesner-McKinley
Arbitrator(s): Michael John Florio
Hearing Site: Las Vegas, NV
| | |
| 16-01140 | 10/24/2017 | Claimant(s): Leticia Castro, GrupoMex Holdings
Claimant Lawyers(s): Chaz R. Brown, John Rogers
Respondent(s): James Fellus, Pershing LLC, John Burke, Lawrence Sanicola, Braver Stern Securities LLC
Respondent Lawyers(s): Andrew R. Harvin, James Benjamin Fellus, Lawrence Sanicola, Thomas G. Amon
Arbitrator(s): Michael Dean, Kendall C. Reed, Michael John Florio
Hearing Site: Las Vegas, NV
| | $0 |
| 15-01665 | 11/22/2016 | Claimant(s): Praveen Chandra
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Mary M. O'Neil, Brent J. Rosenbaum, Michael John Florio
Hearing Site: Las Vegas, NV
| | $0 |
| 14-03641 | 11/09/2016 | Claimant(s): Joseph Guglielmo, JFG Music, King Edward Baltimore, Leland Hotel Development
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Melissa M. Muehfeld
Arbitrator(s): Mary M. O'Neil, Michael John Florio, Cynthia Ruth Saffir
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00722 | 09/16/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas Kopshever
Respondent(s): David Fahey
Respondent Lawyers(s): David John Fahey
Arbitrator(s): Michael John Florio
Hearing Site: Los Angeles, CA
| | |
| 15-02911 | 06/23/2016 | Claimant(s): Michelle Roberts
Claimant Lawyers(s): Michelle M. Roberts
Respondent(s): Mark Otta, Monica John, RBC Capital Markets LLC, Stanley Cooper
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Michael John Florio
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-02770 | 12/10/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Christopher Gallo
Respondent Lawyers(s): Scott R. Shewan
Arbitrator(s): Barry A. Mainardi, Michael G. Clark, Michael John Florio
Hearing Site: Las Vegas, NV
| | |
| 13-01837 | 01/02/2015 | Claimant(s): Belva Jeanne Shultz Revocable Trust, Karen K. Fry, Atty in Fact
Claimant Lawyers(s): Richard A. Nervig
Respondent(s): John Thornes, Thornes & Associates. Invest Sec
Respondent Lawyers(s): John Thomas Thornes, Stephen M. Oliveira
Arbitrator(s): Michael G. Clark, Benjamin F. Breslauer, Michael John Florio
Hearing Site: Los Angeles, CA
| | $4,525,120 |
