| 21-02684 | 04/17/2024 | Claimant(s): Steve Kramer
Claimant Lawyers(s): Brandon Dei
Respondent(s): Michael Finnan, Morgan Wilshire Securities.
Respondent Lawyers(s): Michael John Finnan
Arbitrator(s): Kendall C. Reed, Rick Gale Doty, Kimberly Johnson
Hearing Site: Denver, CO
|  | Dismissed by Rule 12212©&12511(b) |
| 23-00234 | 11/17/2023 | Claimant(s): Jeanne Mount
Claimant Lawyers(s): Jeanne Mount
Respondent(s): Brooke Spicer, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Mary M. O'Neil, Kendall C. Reed, Maxx O Brawer
Hearing Site: Los Angeles, CA
| | $0 |
| 23-00417 | 11/08/2023 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric D. Raphan
Respondent(s): Jason Kurtz
Respondent Lawyers(s): Jason Mark Kurtz
Arbitrator(s): Kendall C. Reed
Hearing Site: Denver, CO
| | |
| 21-03054 | 05/04/2023 | Claimant(s): Byron Costa, Darrell Costa
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): David Maurer, Kendall C. Reed, Claudia Mai Morehead
Hearing Site: Los Angeles, CA
| | $0 |
| 20-03717 | 08/19/2022 | Claimant(s): Greg Meyer
Claimant Lawyers(s): Noah Green
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Michael Harrison, Russell T. Doe, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | Expungement |
| 19-01560 | 01/21/2022 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): G. Thomas Fleming
Respondent(s): James Shelburne
Respondent Lawyers(s): James Christopher Shelburne
Arbitrator(s): Barton J. Brewer, Kendall C. Reed, Aurelio A. Garcia
Hearing Site: Los Angeles, CA
| | |
| 20-02960 | 09/03/2021 | Claimant(s): Devinder Karir
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | |
| 20-03388 | 04/19/2021 | Claimant(s): Daria Haidukova
Claimant Lawyers(s): Daria Haidukova
Respondent(s): Fidelity Brokerage Services LLC, Fidelity Investments Institutional Srvcs, UMB Financial Services.
Respondent Lawyers(s): Eric D. Martin, Patrick S. Christensen
Arbitrator(s): Joyce L. Hurley, Richard William DeWeese, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212 |
| 20-03350 | 04/09/2021 | Claimant(s): Iouri Bobrov
Claimant Lawyers(s): Iouri Bobrov
Respondent(s): Fidelity Brokerage Services LLC, UMB Financial Services.
Respondent Lawyers(s): Eric. D. Martin, Noah D. Sorkin
Arbitrator(s): Kendall C. Reed, Andrea Luise Halperin, David Harvey Failer
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212 |
| 18-00556 | 03/05/2021 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Edward Swigert
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Sheldon M. Jaffe, Kendall C. Reed, Frank Cronin
Hearing Site: Los Angeles, CA
| | |
