| 18-01298 | 09/19/2019 | Claimant(s): A. Bruce Sanborn, M. Dianne Sanborn, A. Bruce and M. Dianne Sanborn Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Robert D. Sussin, Michael M. Hachigian, Elizabeth Yang
Hearing Site: Los Angeles, CA
|  | $0 |
| 18-00497 | 09/16/2019 | Claimant(s): Guity Javid, Negeen Dehesh, Guity Javid Trust, Negeen Dehesh Trust
Claimant Lawyers(s): Grant B. Gelberg
Respondent(s): Aldo Lozano, Mark Panfil, RBC Capital Markets LLC
Respondent Lawyers(s): David Harrison, Michael M. Gless
Arbitrator(s): Edward A. Trabin, Mary M. O'Neil, Audrey Lynne Myer
Hearing Site: Los Angeles, CA
| | $0 |
| 18-02745 | 09/11/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Timothy L. Moore
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | $0 |
| 18-04359 | 09/11/2019 | Claimant(s): Matthew Bradley
Claimant Lawyers(s): Harris Freedman
Respondent(s): Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David M. Purcell
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $0 |
| 19-00164 | 09/10/2019 | Claimant(s): Timothy Werdel
Claimant Lawyers(s): Matthew Wolper
Respondent(s): Cuso Financial Services, L.P.
Respondent Lawyers(s): Maria J. Seedner
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
| | $0 |
| 18-04379 | 08/26/2019 | Claimant(s): Alexandro Filippini, Iaian Filippini
Claimant Lawyers(s): Michael Bessette
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Joseph Ehrlich
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $0 |
| 19-00975 | 08/20/2019 | Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Amanda Sotak
Respondent(s): Anthony Costanzo
Respondent Lawyers(s): Anthony L. Costanzo
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
| | $0 |
| 17-03494 | 08/20/2019 | Claimant(s): Suzanne Takowsky, Suzanne Takowsky Rev Trust DTD 5/20/14
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Barbara M. Zak, Pamela Jane Koslow, Erin Person
Hearing Site: Los Angeles, CA
| | $300 |
| 18-03710 | 08/16/2019 | Claimant(s): David James
Claimant Lawyers(s): Michelle Atlas
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Anthony D. DeToro
Hearing Site: Los Angeles, CA
| | $0 |
| 18-02144 | 08/15/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Timothy L. Moore
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $0 |
