| 22-02852 | 08/18/2023 | Claimant(s): Stephen Hekimian
Claimant Lawyers(s): Harris Freedman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | |
| 22-02452 | 08/02/2023 | Claimant(s): Mei Guo
Claimant Lawyers(s): Christina Z. Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): David Smitham
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 22-01103 | 08/01/2023 | Claimant(s): Nicholas Donovan, Nicholas & Antonieta Garcia Donovan
Claimant Lawyers(s): Sanford Mitchell Passman
Respondent(s): Herbert Messick, Cetera Advisor Networks LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Steven H. Gentry
Hearing Site: Los Angeles, CA
|  | Expungement |
| 22-00154 | 07/31/2023 | Claimant(s): Rami Alrwais
Claimant Lawyers(s): Rami Alrwais
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Barbara M. Zak, Marc David Wilde, Robert D. Coviello
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12511/12212 |
| 22-00084 | 07/31/2023 | Claimant(s): Eric Garofano, The Advisory and Management Group.
Claimant Lawyers(s): Aaron Israels
Respondent(s): Sean McDevitt
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Michael Harrison, Richard Maurice Robinson, McKinley Perkins
Hearing Site: Los Angeles, CA
| | Expungement |
| 22-02968 | 07/24/2023 | Claimant(s): Jefferey B. Lurner, IRA
Claimant Lawyers(s): Jefferey B. Lurner
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | $0 |
| 22-02597 | 07/14/2023 | Claimant(s): Hemant Kathuria
Claimant Lawyers(s): Kurt Kalberer
Respondent(s): A.G.P. / Alliance Global Partners
Respondent Lawyers(s): John Venezia
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 23-00327 | 07/10/2023 | Claimant(s): David Kelly, Elizabeth Ann Kelly
Claimant Lawyers(s): David M Kelly
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | $0 |
| 22-02235 | 07/07/2023 | Claimant(s): Andrew Kuo, Bradley Kaiser
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Western International Securities.
Respondent Lawyers(s): Donald Bizub
Arbitrator(s): Mary M. O'Neil, Kirtley M. Thiesmeyer, Sidney Kinji Kanazawa
Hearing Site: Los Angeles, CA
| | |
| 22-00324 | 07/06/2023 | Claimant(s): Amir Golzar
Claimant Lawyers(s): Zachary Morse
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Sandra L. Malek
Hearing Site: Los Angeles, CA
| | |
