| 16-02910 | 05/24/2017 | Claimant(s): Christine Orta, John Lindsey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00027 | 05/19/2017 | Claimant(s): Robert Dale, Robert Dale IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): Daniel Levin, Scott Schroeder
Respondent Lawyers(s): Daniel Edward Levin, Scott Donovan Schroeder
Arbitrator(s): Elliott Zachary Seff, Brent J. Rosenbaum, Steven H. Gentry
Hearing Site: Los Angeles, CA
|  | $23,848 |
| 16-02928 | 05/18/2017 | Claimant(s): John Lindsey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | $0 |
| 14-03220 | 05/18/2017 | Claimant(s): Angelina Gerber, Harvey Gerber, H&A Gerber Trust dated 7/5/2005, The Lambert Family Trust dd 11/4/2007
Claimant Lawyers(s): Philip Aidikoff, Ryan K. Bakhtiari
Respondent(s): Charles Laverty, Oppenheimer & Co.., UBS Financial Services Inc.
Respondent Lawyers(s): Gary R. Wallace, Neal S. Robb, Robert B. Ericson
Arbitrator(s): Elliott Zachary Seff, Arthur T. Berggren, Cherie S. Lewis
Hearing Site: Los Angeles, CA
| | $1,379,400 |
| 14-01424 | 05/17/2017 | Claimant(s): Roger Donenfeld, Roger F. Donenfeld IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Daniel Terpak, National Securities Corporation, Melvin Stoutenburg, Mohammed Sheikh
Respondent Lawyers(s): Michael P. Gilmore, Randall C. Place
Arbitrator(s): Michael M. Hachigian, Robert E. Jenks, Madina C. Boland
Hearing Site: Los Angeles, CA
| | $0 |
| 16-00979 | 05/12/2017 | Claimant(s): William Conklin, William Conklin IRA, William Conklin TOD Account
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Robert F. Saint-Aubin, W. Alex King, Kenneth M. Weinman
Hearing Site: Los Angeles, CA
| | $0 |
| 15-03006 | 04/25/2017 | Claimant(s): Baynes Family Trust, Jack A. and Sarah Cohen Family Trust
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Daniel Levin, Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona
Arbitrator(s): Neil S. Jasper, Michael Joseph Desmond, DeMarlo Matine Sims
Hearing Site: Los Angeles, CA
| | $0 |
| 15-02581 | 04/21/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Esperanza Padilla Gomez, John Carroll
Respondent Lawyers(s): Mitchell J. Albert, Sharron Ash
Arbitrator(s): Andrew M. Mintzer, Elliott Zachary Seff, Martin J. Kotowski
Hearing Site: Los Angeles, CA
| | $0 |
| 16-03212 | 04/19/2017 | Claimant(s): Martin Flores
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Autumn Crowell
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $0 |
| 16-00348 | 04/19/2017 | Claimant(s): Steven Zap Entertainment 401(k) Profit S
Claimant Lawyers(s): Cristina Hernandez
Respondent(s): Alec Pedersen, Eric Smutko, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $0 |
