| 16-00854 | 08/01/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Michael Becking
Respondent Lawyers(s): Michael Allen Becking
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $0 |
| 14-03861 | 07/27/2016 | Claimant(s): Dorothy McNiff, Grant McNiff, Dorothy McNiff IRA, Grant McNiff IRA, Grant & Dorothy McNiff Trust 5/24/2004
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Jarrod Serrato, Newport Coast Securities.
Respondent Lawyers(s): Dan Druz, Jarrod Thomas Serrato
Arbitrator(s): Richard A. Stephens, Peter J Cohen, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
|  | $101,016 |
| 16-00391 | 07/26/2016 | Claimant(s): Edward Alston
Claimant Lawyers(s): Edward D. Alston
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00624 | 07/22/2016 | Claimant(s): Laura Bell
Claimant Lawyers(s): David Lefkowitz
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Arthur T. Berggren, Lawrence Yaeger, Robert C. Albini
Hearing Site: Los Angeles, CA
| | $625,000 |
| 14-02915 | 07/15/2016 | Claimant(s): Joan Galloway, Robert Galloway, The Galloway Family Trust
Claimant Lawyers(s): Joshua H. Sisam
Respondent(s): Financial Advisers Of America
Respondent Lawyers(s): Kenneth Johnston
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $1,541,720 |
| 16-00641 | 07/14/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E Murtagh
Respondent(s): Jesse Smith
Respondent Lawyers(s): Jesse Derek Smith
Arbitrator(s): Michael M. Hachigian
Hearing Site: Los Angeles, CA
| | $0 |
| 15-03150 | 07/13/2016 | Claimant(s): Timothy Craiger
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Capital City Securities
Respondent Lawyers(s): Todd E. Crawford
Arbitrator(s): James R. Duncan, Mark S. Priver, James Stephan Mulholland
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00610 | 07/07/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): John Lipari
Respondent Lawyers(s): Michael E. Barmasse
Arbitrator(s): Kirtley M. Thiesmeyer, Owen Frances, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
| | $0 |
| 15-02734 | 07/01/2016 | Claimant(s): Brandon Price, Carol Price, Cody Price, Jonathan Washington, Leslie Price, Patrick Price, Tania Price-Tilley, William Washington, Ecstasy Queen
Claimant Lawyers(s): Tania L. Price-Tilley
Respondent(s): Angela Bearup, Bahram Shidoosh, Craig Connor, Daniel Fuller, James Shoultz, Jeffrey Paulson, John Gustafson, Karen Smith, Kelley Densham, Charles Schwab & Co.., Rachel Brown, Richard Schroeder, Sean Connolly, Stephen Petti, Stephen Jay Muth
Respondent Lawyers(s): Angela Michelle Bearup, Dorothy Wolpert, Jeffrey Thomas Paulson, Mark T. Drooks
Arbitrator(s): Richard J. Stall, Edward Banian, Dana L. Bigman
Hearing Site: Los Angeles, CA
| | $0 |
| 15-02838 | 06/27/2016 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Babak Yousefzadeh
Respondent(s): Lori Rudow
Respondent Lawyers(s): Lori Diane Rudow
Arbitrator(s): Michael M. Hachigian
Hearing Site: Los Angeles, CA
| | $0 |
