| 23-02816 | 07/01/2024 | Claimant(s): Tsz Kwan Lau
Claimant Lawyers(s): Christina Vouakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 23-00448 | 06/26/2024 | Claimant(s): Jennifer Gold
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Alex Chivarsky, UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman, Omar Perez
Arbitrator(s): Robert B. Hansohn, Brent J. Rosenbaum, Farshad Ghodoosi
Hearing Site: Los Angeles, CA
|  | Expungement |
| 23-03642 | 06/25/2024 | Claimant(s): Drew Freides
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Stuart Sinai, Mary C. Davis, Peter A.P. Dunlop
Hearing Site: Los Angeles, CA
| | |
| 21-01022 | 06/18/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Henry Chang
Respondent Lawyers(s): Henry Chia-How Chang
Arbitrator(s): Mario H. Metzger, Kirtley M. Thiesmeyer, Daniel Lawrence Pearlman
Hearing Site: Los Angeles, CA
| | |
| 23-01752 | 06/14/2024 | Claimant(s): Steven Smith
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Joyce L. Hurley, Dana L. Bigman, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 22-01587 | 06/11/2024 | Claimant(s): Nicholas Takahashi
Claimant Lawyers(s): Patrick R Mahoney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Michael G. Clark, Robert B. Hansohn, Jack R. Goetz
Hearing Site: Los Angeles, CA
| | |
| 23-01415 | 06/11/2024 | Claimant(s): David Brodsky
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
| | |
| 23-02921 | 06/10/2024 | Claimant(s): Jesus Quezada
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Regulus Financial Group
Respondent Lawyers(s): Wendy Clarke
Arbitrator(s): Robert D. Sussin, Noel Harvey Applebaum, Alan Stanley Petlak
Hearing Site: Los Angeles, CA
| | |
| 22-01809 | 05/31/2024 | Claimant(s): Andrew Mykletun, Einar Mykletun, Nidhi Mykletun
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): American Trust Investment Services.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Edith N. Dinneen, Maureen Weston, Delton R Henderson
Hearing Site: Los Angeles, CA
| | Expungement |
| 22-01426 | 05/24/2024 | Claimant(s): Donald Davis, Marianne Mackley, Stephen Lim, Sunder Nambiar
Claimant Lawyers(s): Nico Banks
Respondent(s): Larry Law, Richard Sandfer
Respondent Lawyers(s): Larry Richard Law, Patrick R. Mahoney
Arbitrator(s): Anthony D. DeToro, Richard Maurice Robinson, Luis Sanchez Espinoza
Hearing Site: Los Angeles, CA
| | $1,301,030 |
