| 16-03509 | 12/08/2017 | Claimant(s): Alexander Conteh
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Cole Capital Corporation
Respondent Lawyers(s): Theodore J. Sawicki
Arbitrator(s): George L. Tindall, Carole Helfert Aragon, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
| | $0 |
| 17-02162 | 12/08/2017 | Claimant(s): Michael Kanigher
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $0 |
| 16-01946 | 12/06/2017 | Claimant(s): Jerald Halverson, Michael Winn
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Samantha W. Mahoney
Arbitrator(s): Robert E. Jenks, Pamela Jane Koslow, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA
| | $0 |
| 17-00890 | 12/05/2017 | Claimant(s): Michael Greer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): A. Joel Klein
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02792 | 12/01/2017 | Claimant(s): William Roberts
Claimant Lawyers(s): William J. Roberts
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Peter D. Steinbroner, Paul Isaac Matloff, Rosalind Elaine Stevenson
Hearing Site: Los Angeles, CA
|  | $0 |
| 17-00457 | 11/30/2017 | Claimant(s): Mark Schulten
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Mark S. Priver
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01494 | 11/27/2017 | Claimant(s): James Chiate
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Richard J. Stall
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01420 | 11/15/2017 | Claimant(s): Anthony Guinane
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01784 | 11/09/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N Will
Respondent(s): Hanieh Sadat Hendi
Respondent Lawyers(s): Hanieh Sadat Hendi
Arbitrator(s): Alan Stamm
Hearing Site: Los Angeles, CA
| | $0 |
| 16-00705 | 11/02/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Pat Folan
Arbitrator(s): Cheryl Marie Allain-Mee, Ellen Joan Fenten, Robin Z. Mathes
Hearing Site: Los Angeles, CA
| | $0 |
