| 16-03474 | 04/19/2017 | Claimant(s): Samuel Hwang
Claimant Lawyers(s): Samuel S. Hwang
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
|  | $0 |
| 14-03166 | 04/11/2017 | Claimant(s): Jaleh Miller
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Steven A. Wawra, Nancy G. Harris, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00448 | 04/10/2017 | Claimant(s): Sherif Iskander
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harold M. Brody
Arbitrator(s): Christopher L. Mass, Tim James O'Keefe, Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
| | $0 |
| 16-00762 | 04/06/2017 | Claimant(s): Larry Rabineau
Claimant Lawyers(s): Larry Rabineau
Respondent(s): Donald Kartoon, Morgan Stanley
Respondent Lawyers(s): Christine A. Kendrick
Arbitrator(s): Larry Edmonson, Richard Maurice Robinson, Matthew Syken
Hearing Site: Los Angeles, CA
| | $4,000 |
| 15-02684 | 03/30/2017 | Claimant(s): Adina Pruitt
Claimant Lawyers(s): Erin E. Hanson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Roberta Haft, Elliott David Finkel, Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $0 |
| 16-00677 | 03/27/2017 | Claimant(s): Ruby Maddox
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates., Kathleen Tarr
Respondent Lawyers(s): G. Thomas Fleming, Paul W. Thomas
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02272 | 03/01/2017 | Claimant(s): Ronald Lee
Claimant Lawyers(s): Lisa Garvin Copeland
Respondent(s): Isadore Schifano, Charles Schwab & Co..
Respondent Lawyers(s): Greg Scanlon
Arbitrator(s): Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02858 | 02/21/2017 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02755 | 02/14/2017 | Claimant(s): Dorothy Diehl
Claimant Lawyers(s): Dorothy Diehl
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Michael Regan
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | $300 |
| 15-00353 | 02/10/2017 | Claimant(s): Sheila Fernandes
Claimant Lawyers(s): Shyla Fernandes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Robert D. Sussin, Benjamin F. Breslauer, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
| | $0 |
