| 19-00677 | 12/20/2019 | Claimant(s): Deborah Alliano
Claimant Lawyers(s): Deborah A. Alliano
Respondent(s): Kelley Slaught
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
|  | $0 |
| 19-01677 | 12/18/2019 | Claimant(s): Alan Schryer
Claimant Lawyers(s): Erica Harris
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Ellen S. Robbins
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | $0 |
| 18-03813 | 11/29/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Kevin J. Woods
Respondent(s): Richard Frank
Respondent Lawyers(s): Richard Kevin Frank
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $0 |
| 19-01467 | 11/29/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N Will
Respondent(s): Craig Micklich
Respondent Lawyers(s): Craig William Micklich
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
| | $0 |
| 15-03120 | 11/27/2019 | Claimant(s): Fariba Madison
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): David Terrell, Sean Pong, U.S. Bancorp Investments.
Respondent Lawyers(s): Christina N. Goodrich
Arbitrator(s): Steven A. Wawra, Robert Dean McKinley, Owen Frances
Hearing Site: Los Angeles, CA
| | $0 |
| 19-00974 | 11/26/2019 | Claimant(s): Louis Windawi
Claimant Lawyers(s): Chad E Weaver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | $0 |
| 18-02782 | 11/25/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh, Nicholas Y. Lin
Arbitrator(s): George Herman Frisch
Hearing Site: Los Angeles, CA
| | $0 |
| 13-00901 | 11/22/2019 | Claimant(s): Yong Kim
Claimant Lawyers(s): Ken Levine
Respondent(s): Eul Choi, Kyung Cho, SH Investment & Securities
Respondent Lawyers(s): Marc A. Oliver, Robert K. Lu
Arbitrator(s): Vincent J. Natoli, Alan M. Rosen, Rosalind Anne Salzman
Hearing Site: Los Angeles, CA
| | $0 |
| 18-04323 | 11/22/2019 | Claimant(s): Iaian Filippini
Claimant Lawyers(s): Matthew Clarke
Respondent(s): ePlanning Securities.
Respondent Lawyers(s): Joseph Ehrlich
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $0 |
| 19-01315 | 11/18/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holding LLC
Claimant Lawyers(s): Timothy N Will
Respondent(s): Damion Smith
Respondent Lawyers(s): Damion Lenell Smith
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $0 |
