| 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 |
| 22-00414 | 11/07/2022 | Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Mario H. Metzger, Michael Harrison, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 17-00166 | 06/07/2018 | Claimant(s): Thomas Yague
Claimant Lawyers(s): Thomas L. Gourde
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Timothy Owen
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Mario H. Metzger, Benjamin F. Breslauer, Robert Dean McKinley
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00039 | 08/18/2017 | Claimant(s): Joseph Focil
Claimant Lawyers(s): Augusto Focil
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): David J. Anderson, Mario H. Metzger, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | |
| 14-01427 | 04/29/2015 | Claimant(s): Liberatore Family Trust
Claimant Lawyers(s): Christopher L. Pitet
Respondent(s): Albert Han, GBS Financial Corp.
Respondent Lawyers(s): Albert Han, Donald Gloisten
Arbitrator(s): Mario H. Metzger, Edward A. Trabin, Joy Diane Williams
Hearing Site: Los Angeles, CA
| | $0 |
| 11-04329 | 08/21/2013 | Claimant(s): Juliet Feinberg, Larry Feinberg
Claimant Lawyers(s): Edward Gartenberg
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michael R. Mitchell, Mario H. Metzger, Janice A. Salter
Hearing Site: Los Angeles, CA
| | $0 |
| 11-04489 | 01/25/2013 | Claimant(s): Papell Family Trust v/a/d 8/12/1997
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Thomas E. Shuck, Mario H. Metzger, Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | $0 |
| 10-05031 | 02/23/2012 | Claimant(s): Jeffrey & Cheryl Lane Family Trust
Claimant Lawyers(s): Jeffrey Lane
Respondent(s): Brandon Mallette, Louie Vargas, Merrill Lynch Pierce Fenner & Smith Inc., Michael Tiedemann, Paul Wetmore, Sheila Carlson, Lord Abbett Distributor LLC
Respondent Lawyers(s): John P. Bevilacqua, John Beviliqua, Joshua Hess, Matthew L. Larrabee
Arbitrator(s): Mario H. Metzger, George L. Tindall, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | $0 |
| 09-04620 | 04/22/2010 | Claimant(s): Peter Schiff, Euro Pacific Capital.
Claimant Lawyers(s): Debra L. Fischer
Respondent(s): Charles Hanlon
Respondent Lawyers(s): Charles Patrick Hanlon
Arbitrator(s): Mario H. Metzger, Glen W. Hanne, Christopher William Shaw
Hearing Site: Los Angeles, CA
| | |
| 02-03841 | 07/15/2008 | Claimant(s): Jae C. Kim and Soon J. Kim
Claimant Lawyers(s): Jae C. Kim
Respondent(s): In Dong Oh, Rowe Park, Sae Chung, Yong Kim, Daehan Securities.
Respondent Lawyers(s): In Dong Oh, Jai Y. Son, Laura Park Chung, Rowe Park, Yong S. Kim
Arbitrator(s): Donald G. Gloisten, Stuart M. de Haaff, Mario H. Metzger
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
