| 23-01755 | 01/29/2024 | Claimant(s): Bryan Wilczewski
Claimant Lawyers(s): George C. Miller
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 23-02525 | 01/23/2024 | Claimant(s): Alexander Phillips, Jordan Hayes
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 23-02316 | 01/22/2024 | Claimant(s): Harvey Frey
Claimant Lawyers(s): Harvey S. Frey
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Edward A. Trabin
Hearing Site: Los Angeles, CA
|  | $163 |
| 22-02375 | 01/19/2024 | Claimant(s): Lana Baselt, Estate of Randall Baselt
Claimant Lawyers(s): Jared Peterson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Scott E. Rahn
Arbitrator(s): Joseph Howard Cooper, Erik R. Siering, Olivia J. Valentine
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212© and 12511(b) |
| 23-01566 | 01/12/2024 | Claimant(s): Howard Hsieh
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 23-01374 | 01/11/2024 | Claimant(s): Howard Hsieh
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | |
| 23-00796 | 01/09/2024 | Claimant(s): Daniel Beech
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Western International Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Ronald L. Cameron, Alexandra M. Linden, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 23-02249 | 01/05/2024 | Claimant(s): Simone Varessi
Claimant Lawyers(s): Simone Varessi
Respondent(s): LPL Financial LLC, William Faith
Respondent Lawyers(s): Jon D. Kaplon, William Lawrence Faith
Arbitrator(s): Andrew W. Levin
Hearing Site: Los Angeles, CA
| | $0 |
| 22-01229 | 01/05/2024 | Claimant(s): Boustead Securities, Llc
Claimant Lawyers(s): Joseph Dale Wilson
Respondent(s): EBET.
Respondent Lawyers(s): Farhad Novian
Arbitrator(s): Joseph C. Watson, Richard Maurice Robinson, Michael Craig Ditty
Hearing Site: Los Angeles, CA
| | |
| 22-02462 | 01/05/2024 | Claimant(s): Ava Naeini
Claimant Lawyers(s): Ava Naeini
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Elliott Finkel, Joseph Winter, Robert Charles Pearman
Hearing Site: Los Angeles, CA
| | $0 |
