| 23-01085 | 01/02/2024 | Claimant(s): Luis Espinoza
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Ameriprise Financial Services., FFEC Wealth Partners LLC
Respondent Lawyers(s): Howard Klausmeier, Patrick W. Kelly
Arbitrator(s): Michael W. Burnett, Andrew M. Mintzer, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | |
| 22-00824 | 12/19/2022 | Claimant(s): William Krebs
Claimant Lawyers(s): Sarah Ali Burroughs
Respondent(s): Pension Planners Securities., Voya Financial Advisors.
Respondent Lawyers(s): Christina Vourakisorate Office
Arbitrator(s): Michael W. Burnett, Milton N. Gross, Cherie S. Lewis
Hearing Site: Los Angeles, CA
| | |
| 14-00937 | 12/27/2016 | Claimant(s): BTIG
Claimant Lawyers(s): Scott T. Nonaka
Respondent(s): Ahmad Moussavi, David Connors, Deirdre McCoy, Jacques Tizabi, Jay Chapler, M. Khan, Marc Wade, Mark Valentine, Michael Cheng, Nima Montazeri, Sam Halim, Scott Dorey, BHP International Markets, Ltd., Floyd Associates., Silver Leaf Partners
Respondent Lawyers(s): Anthony S. Kikivarakis, Harry Delagrammatikas, John R. Loftus, Kasey Curtis, Liam O' Brien, Mark E. Valentine, Steven M. Goldsobel, Stuart A. Shanus
Arbitrator(s): Robert D. Sussin, Michael W. Burnett, Alan Bert Nishimura
Hearing Site: Los Angeles, CA
| | |
| 06-03849 | 07/10/2009 | Claimant(s): Barry Ross
Claimant Lawyers(s): Harvey R. Friedman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Herbert Leslie Greenberg, Michael W. Burnett, George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 02-03268 | 10/17/2008 | Claimant(s): Ikho Kang IRA, Ikho & Unsoon Kang
Claimant Lawyers(s): Christopher Mader
Respondent(s): Barbara Ralston, Charles Lazzaro, John Openshaw, Katrina Dudley, First Wall Street Corporation
Respondent Lawyers(s): Brandon S. Reif, Patrick Baldwin
Arbitrator(s): James M. Donovan, Michael W. Burnett, Thomas R. Watkins
Hearing Site: Los Angeles, CA
|  | Expungement |
| 03-09085 | 03/31/2008 | Claimant(s): Fred Lowenschuss, Laurance Lowenschuss, ENTERED IN ERROR, Alan Lowenschuss Trust UAD 1/24/89, Edward Lowenschuss Trust UAD 1/24/89
Claimant Lawyers(s): Edward Lowenschuss, Fred Lowenschuss
Respondent(s): Sanford I. Weill, Citigroup Global Markets., Jack B. Grubman, John Hoffmann, Joseph Friedman, Kevin McCaffrey, Robert Waldman
Respondent Lawyers(s): William F. Alderman
Arbitrator(s): Michael W. Burnett, Erik R. Siering, Arthur T. Berggren
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
