| 21-01800 | 08/24/2023 | Claimant(s): Rudolph Baker
Claimant Lawyers(s): Rudolph Baker
Respondent(s): E*Trade Securities LLC, TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher, John Bersin
Arbitrator(s): Joseph C. Watson, W. Alex King, Richard Andrew Roupoli
Hearing Site: Los Angeles, CA
|  | $0 |
| 21-02861 | 03/24/2023 | Claimant(s): Arnold Shvarts, Oksana Shvarts
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Bradley Kaiser, Donald Bizub, Hagop Nalbandian, Krikor Demirjian, Wendy Rea, Western International Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Robert D. Sussin, W. Alex King, Andrew W. Levin
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-01076 | 02/04/2022 | Claimant(s): Farid Ghafelpour
Claimant Lawyers(s): Farid Ghafelpour
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Barbara M. Zak, W. Alex King, Xochitl Arteaga
Hearing Site: Los Angeles, CA
| | $0 |
| 16-00688 | 03/26/2020 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kevin J. Woods
Respondent(s): Ghalib Kanji
Respondent Lawyers(s): Joseph M. Lovretovich
Arbitrator(s): W. Alex King, Kendall C. Reed, Mark T Risner
Hearing Site: Los Angeles, CA
| | |
| 16-00460 | 06/05/2017 | Claimant(s): Ronnie Harper, Ronnie Benny Harper Revocable Living Tru
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Royal Alliance Associates., Regal Advisory Services.
Respondent Lawyers(s): Frederick A. Rafeedie
Arbitrator(s): Neil S. Jasper, Edward A. Trabin, W. Alex King
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00979 | 05/12/2017 | Claimant(s): William Conklin, William Conklin IRA, William Conklin TOD Account
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Robert F. Saint-Aubin, W. Alex King, Kenneth M. Weinman
Hearing Site: Los Angeles, CA
| | $0 |
| 15-03226 | 01/24/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Edward Levi
Respondent Lawyers(s): Edward Kelly Levi
Arbitrator(s): Robert A. Lombardi, Marvin B. Karelitz, W. Alex King
Hearing Site: Los Angeles, CA
| | |
| 15-01323 | 05/23/2016 | Claimant(s): Wesley Long
Claimant Lawyers(s): Philip M. Aidikoff
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John W. Stenson
Arbitrator(s): Joy Diane Williams, Robert E. Jenks, W. Alex King
Hearing Site: Los Angeles, CA
| | |
| 11-03181 | 04/12/2016 | Claimant(s): Antaeus Capital.
Claimant Lawyers(s): Cesar Moya
Respondent(s): Cesar Moya, Curtis Leahy
Respondent Lawyers(s): Cesar Moya, Jeffrey S. Kob
Arbitrator(s): Alan Stamm, W. Alex King, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
| | |
| 14-02168 | 11/13/2015 | Claimant(s): Global eBusiness Services
Claimant Lawyers(s): Syed Nazim Ali
Respondent(s): Interactive Brokers LLC.
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): David J. Anderson, Edward A. Trabin, W. Alex King
Hearing Site: Los Angeles, CA
| | $0 |
