17-01168 | 12/29/2020 | Claimant(s): Michael Bowe Claimant Lawyers(s): Michael E. Bowe Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): Daniel A. Spector Arbitrator(s): Barbara M. Anscher, Michael Lancaster Garcia, Yvonne Brathwaite Burke Hearing Site: Los Angeles, CA
| | $16,000 |
20-00063 | 09/03/2020 | Claimant(s): Gabriel Taylor Claimant Lawyers(s): Tosh Grebenik Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Diana Tabacopoulos Arbitrator(s): Yvonne Brathwaite Burke Hearing Site: Los Angeles, CA
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18-00555 | 02/19/2019 | Claimant(s): Joan Waldman Claimant Lawyers(s): Leslie S Akins Respondent(s): Gary Wei, Citigroup Global Markets. Respondent Lawyers(s): Elizabeth H. Lindh Arbitrator(s): Robert D. Sussin, Robert B. Hansohn, Yvonne Brathwaite Burke Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12504 |
17-01319 | 01/04/2019 | Claimant(s): Altenhofen Revocable Trust Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): William McC. Montgomery Arbitrator(s): Barbara M. Zak, Jeffrey E. Skogsbergh, Yvonne Brathwaite Burke Hearing Site: Los Angeles, CA
| | Expungement |
17-03083 | 06/26/2018 | Claimant(s): John Adams Claimant Lawyers(s): Michael Bessette Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Neal S. Robb Arbitrator(s): Yvonne Brathwaite Burke Hearing Site: Los Angeles, CA
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16-03487 | 01/03/2018 | Claimant(s): Cyrus Tabaz Claimant Lawyers(s): Geoffrey G. Melkonian Respondent(s): David Park, Unionbanc Investment Services Respondent Lawyers(s): Bryce M. Cullinane Arbitrator(s): George L. Tindall, W. Scott Bowersock, Yvonne Brathwaite Burke Hearing Site: Los Angeles, CA
| | $0 |
15-00422 | 06/15/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Timothy N. Will Respondent(s): Philip Bugay Respondent Lawyers(s): Timothy J. Trager Arbitrator(s): Marvin B. Karelitz, Steven J. Feldman, Yvonne Brathwaite Burke Hearing Site: Los Angeles, CA
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14-00029 | 12/03/2015 | Claimant(s): Irving Nast Claimant Lawyers(s): Marc I. Zussman Respondent(s): Brian Hagerman, John Matthews, Equities Trading Corporation, Global Arena Capital Corp, Joseph Gunnar & Co. Respondent Lawyers(s): John E. Lawlor, Ronald S. Herzog Arbitrator(s): Edward J. Costello, Alan M. Rosen, Yvonne Brathwaite Burke Hearing Site: Los Angeles, CA
| | $0 |