| 17-00678 | 09/12/2017 | Claimant(s): Merrill Knopf IRA
Claimant Lawyers(s): Merrill Knopf
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Ronald L. Cameron
Hearing Site: Los Angeles, CA
|  | $1,600 |
| 16-01370 | 09/05/2017 | Claimant(s): France Pollack, France Pollack Rollover IRA, The F/T Barry Pollack Trust Profit Shari
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John S. Worden
Arbitrator(s): Richard J. Stall, Susan B. Gans-Smith, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $0 |
| 15-03409 | 09/01/2017 | Claimant(s): Paul Marcus
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John L. Erikson
Arbitrator(s): Edward Banian, Michael M. Hachigian, Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $0 |
| 16-03657 | 08/30/2017 | Claimant(s): Earl Rideau
Claimant Lawyers(s): Ryan Gustafson
Respondent(s): Alex Chalekian
Respondent Lawyers(s): Haig Keledjian
Arbitrator(s): Ronald L. Cameron, Jeffrey E. Skogsbergh, Judith Porter
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02756 | 08/25/2017 | Claimant(s): Donald Adams, Eleanor Reed, Suvawinds.
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Christopher Goslin, David Bernstein, Domenic Morrone, Richard Nummi
Respondent Lawyers(s): David John Bernstein, Domenic James Morrone, Eric J. Dec, Richard Mark Nummi
Arbitrator(s): Robert E. Jenks, Lori A. Coleman, Joseph Francis Young
Hearing Site: Los Angeles, CA
| | $147,019 |
| 16-00826 | 08/23/2017 | Claimant(s): Charles Morgan, Charles W. Morgan Revocable Living Trust
Claimant Lawyers(s): Charles W. Morgan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie, Esq.
Arbitrator(s): Michael Harrison, Richard M. Norman, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $0 |
| 16-00039 | 08/18/2017 | Claimant(s): Joseph Focil
Claimant Lawyers(s): Augusto Focil
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): David J. Anderson, Mario H. Metzger, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | $0 |
| 11-01176 | 08/11/2017 | Claimant(s): Robert La Spada
Claimant Lawyers(s): Robert Rocco La Spada
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Sandra L. Malek
Hearing Site: Los Angeles, CA
| | $0 |
| 16-01608 | 08/10/2017 | Claimant(s): Josette S. Hatter IRA, Rodney R. Hatter SEP IRA account
Claimant Lawyers(s): Rodney Ray Hatter
Respondent(s): Brian Henderson, UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $0 |
| 14-02711 | 07/25/2017 | Claimant(s): ABS Manager
Claimant Lawyers(s): Mark D. Chester
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Elliott Zachary Seff, Karen A. Lockwood, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA
| | $0 |
