| 23-01820 | 02/28/2024 | Claimant(s): Karen Guerrero
Claimant Lawyers(s): Michael C. Bixby
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
|  | Expungement |
| 23-02242 | 02/12/2024 | Claimant(s): Jonathan Socha
Claimant Lawyers(s): Jonathan Socha
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Denver, CO
| | $0 |
| 23-01374 | 01/11/2024 | Claimant(s): Howard Hsieh
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | |
| 23-01085 | 01/02/2024 | Claimant(s): Luis Espinoza
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Ameriprise Financial Services., FFEC Wealth Partners LLC
Respondent Lawyers(s): Howard Klausmeier, Patrick W. Kelly
Arbitrator(s): Michael W. Burnett, Andrew M. Mintzer, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | |
| 22-00309 | 02/15/2023 | Claimant(s): Lei Wang
Claimant Lawyers(s): Lei Wang
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Mario H. Metzger, Andrew M. Mintzer, Barry D. Kaye
Hearing Site: Los Angeles, CA
| | $40,375 |
| 21-00942 | 12/02/2022 | Claimant(s): Steven Daily
Claimant Lawyers(s): Steven R. Daily
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Las Vegas, NV
| | $0 |
| 22-00021 | 07/11/2022 | Claimant(s): John Bowers
Claimant Lawyers(s): Zachary Morse
Respondent(s): Gold Coast Securities.
Respondent Lawyers(s): Tae P. Ho
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | |
| 21-01115 | 12/09/2021 | Claimant(s): Laura Chao
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | |
| 21-01167 | 10/15/2021 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Michael Bessette
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Samantha Parrish
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | |
| 19-03662 | 09/17/2021 | Claimant(s): Janelle Salon, Salon Family Trust
Claimant Lawyers(s): Gus W. Flangas
Respondent(s): Morgan Stanley, Perry Basch
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Elliott Finkel, Andrew M. Mintzer, Robert B. Hansohn
Hearing Site: Las Vegas, NV
| | $0 |
