| 20-02120 | 12/01/2020 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles B LaChaussee
Respondent(s): Brian Matz
Respondent Lawyers(s): Brian Joathan Matz
Arbitrator(s): George Herman Frisch
Hearing Site: Los Angeles, CA
| | $0 |
| 20-01501 | 12/01/2020 | Claimant(s): Steven Ferrara
Claimant Lawyers(s): Steven Ferrara
Respondent(s): Wells Fargo Advisors, Scott Trueman
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
|  | $0 |
| 20-01436 | 11/27/2020 | Claimant(s): Elliot Ichinose
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Judy Louie
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | $0 |
| 20-00508 | 11/24/2020 | Claimant(s): Trajan Sung
Claimant Lawyers(s): Frances Menzer
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | $0 |
| 17-02090 | 11/23/2020 | Claimant(s): Colleen Simmons, Kenneth Thompson, Kenneth P. Thompson ROTH IRA, Simmons Living Trust U/A 08/30/02, Thompson Living Trust U/A 05/31/02
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Hightower Securities, Hightower Advisors
Respondent Lawyers(s): Matthew B. Henneman
Arbitrator(s): Richard M. Norman, Robert E. Jenks, Milton N. Gross
Hearing Site: Los Angeles, CA
| | $0 |
| 20-02108 | 11/20/2020 | Claimant(s): The Tipton L. Kiker Estate
Claimant Lawyers(s): Philip L. Vujanov
Respondent(s): Juergen Weber
Respondent Lawyers(s): Juergen Weber
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $158,000 |
| 19-03630 | 11/17/2020 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): UBS Financial Services Inc., Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David Purcell, Elizabeth H. Lindh
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | $0 |
| 19-03632 | 11/17/2020 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
| | $0 |
| 19-03660 | 11/13/2020 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | $0 |
| 19-03345 | 11/13/2020 | Claimant(s): Scott Krelle
Claimant Lawyers(s): Scott Krelle
Respondent(s): Antoni Lucas, Wedbush Securities Inc., David Hirons
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Kendall C. Reed, Aurelio A. Garcia, Elizabeth Yang
Hearing Site: Los Angeles, CA
| | $0 |
