| 19-00210 | 06/04/2019 | Claimant(s): Tradestation Securities.
Claimant Lawyers(s): Steven M Greenbaum
Respondent(s): Abhi Batra
Respondent Lawyers(s): Abhi Batra
Arbitrator(s): Mark Thomas Risner
Hearing Site: Los Angeles, CA
|  | $0 |
| 17-01872 | 06/03/2019 | Claimant(s): Jackie Galop, Jerry Welch, Louis Richards Estate
Claimant Lawyers(s): Jason T. Albin
Respondent(s): Brian Jackson, Ameriprise Financial Services.
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
| | $0 |
| 18-03682 | 05/31/2019 | Claimant(s): Brian Levy
Claimant Lawyers(s): Frances Menzer
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $0 |
| 17-00294 | 05/17/2019 | Claimant(s): Harold Hermelee, Ian Smith, Peter Harrison, Tad Dahlke
Claimant Lawyers(s): Joel Levin
Respondent(s): Gary Wunderlich, Lionel Conacher, Philip Zanone, Wunderlich Investment., Wunderlich Securities.
Respondent Lawyers(s): Mark Griffin
Arbitrator(s): Joseph Winter, Michael John Florio, Alan Stanley Petlak
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01950 | 05/14/2019 | Claimant(s): Beverly Symms, William and Beverly Symms Living Trust
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Gregory Hill, Royal Alliance Associates., Ronald Knight
Respondent Lawyers(s): Amir Tadjedin, Ronald Arthur Knight
Arbitrator(s): Neil S. Jasper, Joseph C. Watson, Lisa Suzette Hart
Hearing Site: Los Angeles, CA
| | $0 |
| 19-00421 | 05/09/2019 | Claimant(s): Yangchen Lama
Claimant Lawyers(s): Consuelo A. Mejer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $0 |
| 18-01826 | 05/08/2019 | Claimant(s): Pablo Vaquera
Claimant Lawyers(s): Pablo Raul Vaquera
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Daniel A. Seiver, Jack R. Goetz, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | $0 |
| 18-00853 | 05/08/2019 | Claimant(s): Carolyn Jacobs, Charles Vaughn, Deanette Vaughn, Joseph Dominick, Robert Meyer, Rosemary Workman, Scott Fortin, Steven Jacobs, The Charles W Jacobs Family Trust, The Katherine Alfred Trust
Claimant Lawyers(s): John S. Chapman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Linda L. Drummond, Mary M. O'Neil, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $0 |
| 17-02452 | 05/07/2019 | Claimant(s): Denise Goldner, as Co-TTEE of Goldner TR, Jay Goldner, as Co-TTEE of Goldner Trust
Claimant Lawyers(s): Mark S. Novak
Respondent(s): Brian Danelian, Jamal Thompson, TD Ameritrade.
Respondent Lawyers(s): Richard A. D'Amura, Simeon M. Schopf
Arbitrator(s): Kendall C. Reed, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | $0 |
| 19-00101 | 05/03/2019 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Ryan Capatosto
Respondent Lawyers(s): Ryan Lawrence Capatosto
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
| | $0 |
