| 22-02203 | 07/03/2023 | Claimant(s): Brett Weichbrod
Claimant Lawyers(s): Christina Z Vourakis
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 22-00379 | 06/30/2023 | Claimant(s): Vukich Family Trust U/A Dated 07/17/2003
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Hulley, Richard Sanders
Respondent Lawyers(s): Kelly L. Doyle
Arbitrator(s): Barbara M. Zak, Eric Gad Forster, Jack R. Goetz
Hearing Site: Los Angeles, CA
|  | Expungement |
| 22-02037 | 06/30/2023 | Claimant(s): Jeff Han
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | |
| 22-02508 | 06/16/2023 | Claimant(s): Anouchka Balog
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 22-01667 | 06/09/2023 | Claimant(s): Jacob Tiab
Claimant Lawyers(s): Jacob Tiab
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Joseph Winter, H. Stuart Waxman, Jeffrey Dwayne Robertson
Hearing Site: Los Angeles, CA
| | $0 |
| 22-02879 | 06/02/2023 | Claimant(s): Sofi Securities LLC
Claimant Lawyers(s): Michele R Uunderwood
Respondent(s): Andre Ismailyan
Respondent Lawyers(s): Andre Ismailyan
Arbitrator(s): Cynthia B. Stone, Mary M. O'Neil, Ethan Joseph Brown
Hearing Site: Los Angeles, CA
| | Settlement |
| 21-02903 | 05/26/2023 | Claimant(s): Alan Daniels
Claimant Lawyers(s): Alan J. Daniels
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): Robert D. Sussin, David Harvey Failer, Farshad Ghodoosi
Hearing Site: Los Angeles, CA
| | Dismissed with Rule 12504 |
| 22-01819 | 05/11/2023 | Claimant(s): Patrick Lowe
Claimant Lawyers(s): Robert Jay Moses
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kathleen Salvaty
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 21-03054 | 05/04/2023 | Claimant(s): Byron Costa, Darrell Costa
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): David Maurer, Kendall C. Reed, Claudia Mai Morehead
Hearing Site: Los Angeles, CA
| | $0 |
| 19-00105 | 05/01/2023 | Claimant(s): Raymond Jallow
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Carter Taylor, Charles Schwab & Co..
Respondent Lawyers(s): Gordon . C Young
Arbitrator(s): Sandra L. Malek, Camille Brown, Alina Landver
Hearing Site: Los Angeles, CA
| | |
