| 13-00215 | 02/06/2017 | Claimant(s): Richard Strang
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Robert Marks
Respondent Lawyers(s): Kevin J. Werner
Arbitrator(s): James A. Sigler, Mark S. Priver, Michael M. Hachigian
Hearing Site: Los Angeles, CA
|  | $29,920 |
| 15-03226 | 01/24/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Edward Levi
Respondent Lawyers(s): Edward Kelly Levi
Arbitrator(s): Robert A. Lombardi, Marvin B. Karelitz, W. Alex King
Hearing Site: Los Angeles, CA
| | $0 |
| 15-03218 | 01/20/2017 | Claimant(s): Ann Vazzana, Bruce Vazzana, Vazzana Underground Construction, Vazzana Family Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Newport Coast Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Joseph C. Watson, Owen Frances, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
| | $0 |
| 16-01367 | 01/17/2017 | Claimant(s): Richard Zinman
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | $0 |
| 13-03752 | 01/06/2017 | Claimant(s): Barbara Ann Lyster Trust
Claimant Lawyers(s): Barbara Ann Lyster
Respondent(s): Adam MacDonald, Wells Fargo Advisors, Pamela Adams
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Kenneth E. Owen, Judith Porter, Richard William DeWeese
Hearing Site: Los Angeles, CA
| | $0 |
| 16-00340 | 12/30/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy Will
Respondent(s): Andrew Goodman
Respondent Lawyers(s): Andrew Goodman
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | $0 |
| 15-02449 | 12/28/2016 | Claimant(s): Thomas Murphy
Claimant Lawyers(s): Donald Potter
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles B. LaChaussee
Arbitrator(s): Edward Banian, Constance Ellen Boukidis, Eric Gad Forster
Hearing Site: Los Angeles, CA
| | $0 |
| 14-03682 | 12/28/2016 | Claimant(s): Kevin Dwyer
Claimant Lawyers(s): Zshonette L. Reed
Respondent(s): Cullen Crabbe, Stephen Kipp, Kipp Financial Group.
Respondent Lawyers(s): Cullen Crabbe, H. Thomas Fehn
Arbitrator(s): Elliott David Finkel, Erik R. Siering, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | $0 |
| 14-00937 | 12/27/2016 | Claimant(s): BTIG
Claimant Lawyers(s): Scott T. Nonaka
Respondent(s): Ahmad Moussavi, David Connors, Deirdre McCoy, Jacques Tizabi, Jay Chapler, M. Khan, Marc Wade, Mark Valentine, Michael Cheng, Nima Montazeri, Sam Halim, Scott Dorey, BHP International Markets, Ltd., Floyd Associates., Silver Leaf Partners
Respondent Lawyers(s): Anthony S. Kikivarakis, Harry Delagrammatikas, John R. Loftus, Kasey Curtis, Liam O' Brien, Mark E. Valentine, Steven M. Goldsobel, Stuart A. Shanus
Arbitrator(s): Robert D. Sussin, Michael W. Burnett, Alan Bert Nishimura
Hearing Site: Los Angeles, CA
| | $0 |
| 16-01142 | 12/22/2016 | Claimant(s): Brad Stark
Claimant Lawyers(s): Chad Weaver
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Norman Cousins Sasamori, Milton N. Gross, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | $0 |
