| 14-01674 | 12/20/2016 | Claimant(s): George Kezios
Claimant Lawyers(s): Stephen J. Thomas
Respondent(s): Wells Fargo Advisors, Gregory Chachas
Respondent Lawyers(s): Judy Louie
Arbitrator(s): John Alen DeRosa, Michael D. Harrison, Joseph Winter
Hearing Site: Los Angeles, CA
|  | $0 |
| 15-01169 | 12/19/2016 | Claimant(s): Dolores Hsu, Vadim Hsu
Claimant Lawyers(s): Morse Taylor
Respondent(s): Erin McNelly, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Scott E. Rahn
Arbitrator(s): David J. Anderson, Robert A. Lombardi, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | $31,682 |
| 16-00017 | 12/13/2016 | Claimant(s): Julienne Ambrose
Claimant Lawyers(s): Alaba S. Ajetunmobi
Respondent(s): Citigroup Global Markets., Citibank NA
Respondent Lawyers(s): Eric R. Feld
Arbitrator(s): Robert D. Sussin, Kirtley M. Thiesmeyer, Allen Edward Wisniewski
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02635 | 12/07/2016 | Claimant(s): David Corbett, Dennis Rosene, Donald Adams, Ekeanor Reed, Elsa Rosene, Gail Fortune, Gerald Berend, Loretta Mak, Mary Wokciechowski, Stan Wojciechowski, Suvawinds., Crost Imports Inc., A.C. Family Limited Partnership
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Rory Hartley
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Morris S. Getzels, Joseph C. Watson, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $0 |
| 16-02636 | 12/07/2016 | Claimant(s): David Corbett, Dennis Rosene, Donald Adams, Eleanor Reed, Elsa Rosene, Gail Fortune, Gerald Berend, Loretta Mak, Mary Wojciechowski, Stan Wojciechowski, Crost Imports Inc., Suvawinds, A.C. Family Limited Partnership
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Leanne Walsh
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Morris S. Getzels, Joseph C. Watson, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00622 | 12/02/2016 | Claimant(s): Michael Phillip
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): A. Joel Klein, Steven A. Wawra, Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
| | $0 |
| 15-02809 | 11/29/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Darren Walton
Respondent Lawyers(s): Darren Thomas Walton
Arbitrator(s): Joseph Winter
Hearing Site: Los Angeles, CA
| | $0 |
| 15-03227 | 11/23/2016 | Claimant(s): Letitia Cooper, Cooper Trust DTD 10/05/2000
Claimant Lawyers(s): Joseph S. Fogel
Respondent(s): John Parmigiani
Respondent Lawyers(s): Ian J. Frimet
Arbitrator(s): Sandra L. Malek, Gary Timothy Haight, Sean Anthony Richardson
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00963 | 11/22/2016 | Claimant(s): Carl Alexen, Kristy Crouch, Louis Morales, Luis Mendez, Marianne Kuzneski, Martha Phillips, Mary Steele, Michel Sanner, Mildred Jazmin, Mitsi Yoss, Phyllis Kuo, Sonia Johnson, Suzette Cohen, Timothy Wassil, Verna Papotta, Wesley Kuo, William Kuzneski, Christel Vincth IRA, Martha Phillips IRA, Ronald Turner IRA, et al
Claimant Lawyers(s): Adam J. Gana, Adam J. Weinstein, Daniel Gwertzman
Respondent(s): Wilson-Davis & Company.
Respondent Lawyers(s): Mark O. Van Wagoner
Arbitrator(s): Kenneth E. Owen, Eric Gad Forster, Daniel James Yee
Hearing Site: Los Angeles, CA
| | $99,441 |
| 15-01474 | 11/21/2016 | Claimant(s): Walid Shinnawi
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): DFA Securities LLC, Dimensional Fund Advisors.
Respondent Lawyers(s): Laura Shelby
Arbitrator(s): Barbara M. Zak, James A. Sigler, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | $0 |
