| 16-02347 | 06/22/2017 | Claimant(s): Jane An
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | $0 |
| 16-01550 | 06/19/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Adam A. Brown
Respondent(s): Edison Noboa
Respondent Lawyers(s): Jonathan Schwartz
Arbitrator(s): Victoria E. Johnson, Thomas R. Watkins, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $0 |
| 16-03111 | 06/12/2017 | Claimant(s): Richard Bertain
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane, Lesley V. Tepper
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | $0 |
| 15-02910 | 06/09/2017 | Claimant(s): Estate of Mary Anne Trottier
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Morgan Stanley, Steven Crawford
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Steven Gourley, Mark S. Priver, Michael Harrison
Hearing Site: Los Angeles, CA
|  | $396,623 |
| 16-00460 | 06/05/2017 | Claimant(s): Ronnie Harper, Ronnie Benny Harper Revocable Living Tru
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Royal Alliance Associates., Regal Advisory Services.
Respondent Lawyers(s): Frederick A. Rafeedie
Arbitrator(s): Neil S. Jasper, Edward A. Trabin, W. Alex King
Hearing Site: Los Angeles, CA
| | $0 |
| 16-00546 | 06/01/2017 | Claimant(s): Farid Morim
Claimant Lawyers(s): Farid Morim
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeff Wortman
Arbitrator(s): Steven Gourley, Jack R. Goetz, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
| | $0 |
| 16-03211 | 06/01/2017 | Claimant(s): Jeffrey Horn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | $0 |
| 16-00503 | 06/01/2017 | Claimant(s): Jorge Casas IRA
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Shareholders Service Group.
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Benjamin F. Breslauer, Daniel Lawrence Pearlman, Isaac K. Tasinga
Hearing Site: Los Angeles, CA
| | $0 |
| 16-01813 | 05/31/2017 | Claimant(s): Simon Fields
Claimant Lawyers(s): Mark Gaylord
Respondent(s): Guillaume Chavaneau, Gurpreet Singh, Shane Melito
Respondent Lawyers(s): Guillaume Gpa Chavaneau, Gurpreet Singh, Shane Joseph Melito
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $51,459 |
| 16-02715 | 05/25/2017 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Samuel Y. Edgerton
Respondent(s): Johan Frisell
Respondent Lawyers(s): Johan Henrik Frisell
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | $0 |
