| 14-02185 | 02/21/2019 | Claimant(s): Amir Hemmat, Christine Hirata, Clyde Hirata, Kyle Jung, Leon Mezistrano, Selma Hemmat, Sylvia Mezistrano, SY&L, Larry Jung, as Trustee of the Robert and
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): WMS Financial Planners.
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Elizabeth Anne Moreno, John W. Garman, Peter J Cohen
Hearing Site: Los Angeles, CA
|  | $0 |
| 18-00555 | 02/19/2019 | Claimant(s): Joan Waldman
Claimant Lawyers(s): Leslie S Akins
Respondent(s): Gary Wei, Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Robert D. Sussin, Robert B. Hansohn, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
| | $0 |
| 17-03334 | 02/13/2019 | Claimant(s): Vanguard Marketing Corporation
Claimant Lawyers(s): Julie E. Ravis
Respondent(s): Derek Zupancic
Respondent Lawyers(s): Derek Zupancic
Arbitrator(s): Thomas E. Shuck, Kendall C. Reed, Frank Centofanti
Hearing Site: Los Angeles, CA
| | $0 |
| 18-02188 | 02/12/2019 | Claimant(s): Simon Holford
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | $0 |
| 18-02476 | 02/08/2019 | Claimant(s): Ryan Gordon
Claimant Lawyers(s): Michael Bessette
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $0 |
| 18-01333 | 02/05/2019 | Claimant(s): Jeffrey Lavin, Mark Sudol
Claimant Lawyers(s): Chad Weaver
Respondent(s): Sagepoint Financial., National Planning Corporation
Respondent Lawyers(s): Bradley Fishman, Scott R. Furbush
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | $0 |
| 18-01138 | 02/04/2019 | Claimant(s): Antoine Souma
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Cheryl S. Chang
Arbitrator(s): Barbara M. Zak, James R. Duncan, Morris S. Getzels
Hearing Site: Los Angeles, CA
| | $0 |
| 17-02892 | 01/29/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Alex Salcedo
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Robert Rosen, Russell T. Doe, Marc David Wilde
Hearing Site: Los Angeles, CA
| | $0 |
| 18-02084 | 01/17/2019 | Claimant(s): Darren Edwards
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Deborah Burstein
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | $0 |
| 18-01773 | 01/14/2019 | Claimant(s): Troy Tremblay
Claimant Lawyers(s): Bentley P. Stansbury
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael Leahy
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | $0 |
