Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-03188 | 08/14/2024 | Claimant(s): David Moran, David Moran on behalf of his IRA account Claimant Lawyers(s): Matthew N. Thibaut Respondent(s): LPL Financial LLC Respondent Lawyers(s): Kelsey Vasko Arbitrator(s): Robert D. Sussin, Joseph Alfred Davis, Howard Clark Posner Hearing Site: Los Angeles, CA |  | Dismissed by Rule 12206 |
| 23-02503 | 08/07/2024 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Ray Mahdavi Respondent(s): Daniel Duong Respondent Lawyers(s): Daniel Duong Arbitrator(s): Kenneth E. Owen, June McLaughlin, Jeffrey Dwayne Robertson Hearing Site: Los Angeles, CA | | $466,689 |
| 23-02829 | 08/06/2024 | Claimant(s): Augustine Choi Claimant Lawyers(s): Peter Lindholm Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Thomas R. Watkins Hearing Site: Los Angeles, CA | ||
| 23-01453 | 08/06/2024 | Claimant(s): Jeffery Sorensen Claimant Lawyers(s): Peter Lindholm Respondent(s): Triad Advisors LLC Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Erik R. Siering Hearing Site: Los Angeles, CA | ||
| 23-01189 | 07/25/2024 | Claimant(s): Nir Haklili, Nir Haklili IRA Claimant Lawyers(s): Nir Haklili Respondent(s): Independent Financial Group. Respondent Lawyers(s): Benjamin J. Biard Arbitrator(s): Joseph C. Watson Hearing Site: Los Angeles, CA | | Expungement |
| 23-01761 | 07/16/2024 | Claimant(s): Gabriel Jaramillo Claimant Lawyers(s): Gabriel Jaramillo Respondent(s): Robinhood Financial. Respondent Lawyers(s): William M. Turner Arbitrator(s): Olivia J. Valentine Hearing Site: Los Angeles, CA | | Dimissed by Rule 12504(b) |
| 23-01249 | 07/15/2024 | Claimant(s): Eric Silvestre Claimant Lawyers(s): Harris Freedman Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Neal S. Robb Arbitrator(s): Constance Ellen Boukidis Hearing Site: Los Angeles, CA | ||
| 23-02888 | 07/15/2024 | Claimant(s): Clayton Gibson Claimant Lawyers(s): Alex Padla Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA | ||
| 13-03275 | 07/10/2024 | Claimant(s): Deutsche Bank Securities. Claimant Lawyers(s): Robert B. Ericson Respondent(s): James Dryden Respondent Lawyers(s): Deborah A. Klar Arbitrator(s): Robert D. Sussin, Kirtley M. Thiesmeyer, Frank Centofanti Hearing Site: Los Angeles, CA | ||
| 23-02727 | 07/10/2024 | Claimant(s): Aaron Clark Claimant Lawyers(s): Joshua A. Katz Respondent(s): LPL Financial LLC Respondent Lawyers(s): Rochelle Mayfield Arbitrator(s): Cherie S. Lewis Hearing Site: Los Angeles, CA |