| 18-00556 | 03/05/2021 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Edward Swigert
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Sheldon M. Jaffe, Kendall C. Reed, Frank Cronin
Hearing Site: Los Angeles, CA
| | $0 |
| 20-02990 | 03/05/2021 | Claimant(s): Troy Tremblay
Claimant Lawyers(s): Bentley P. Stansbury
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Mike West
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $0 |
| 19-02741 | 03/04/2021 | Claimant(s): Jonathan Siegel
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Edith N. Dinneen, Kenneth M. Weinman, Michael John Florio
Hearing Site: Los Angeles, CA
|  | $0 |
| 19-00339 | 02/25/2021 | Claimant(s): Michelle Marquez
Claimant Lawyers(s): Philip M. Aidikoff
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | $0 |
| 20-01053 | 02/24/2021 | Claimant(s): Christine Tang
Claimant Lawyers(s): Chelsea Masters
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | $0 |
| 20-01838 | 02/04/2021 | Claimant(s): James Peters
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): Centaurus Financial., Northwestern Mutual Investment Services
Respondent Lawyers(s): Michael Thomas West, Thomas K. Anderson
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | $0 |
| 20-00944 | 01/28/2021 | Claimant(s): Julian Skalski
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Thomas R. Watkins, Edward H. Davis, Lynn Vivian Dymally
Hearing Site: Los Angeles, CA
| | $685,159 |
| 20-01862 | 01/27/2021 | Claimant(s): Richard Ramos
Claimant Lawyers(s): Richard Ramos
Respondent(s): Ted Smail
Respondent Lawyers(s): Ted H Smail
Arbitrator(s): Steven Gourley, Jeffrey E. Skogsbergh, McKinley Perkins
Hearing Site: Los Angeles, CA
| | $0 |
| 20-02154 | 01/26/2021 | Claimant(s): James Regitz Jr.
Claimant Lawyers(s): Harris Freedman
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | $0 |
| 20-02207 | 01/26/2021 | Claimant(s): Phillips Huffman
Claimant Lawyers(s): Ryan S. Lean
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Thomas E Shuck
Hearing Site: Los Angeles, CA
| | $0 |
