| 23-02829 | 08/06/2024 | Claimant(s): Augustine Choi
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | |
| 19-02274 | 10/05/2021 | Claimant(s): Hanala Sagal
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Nancy G. Harris, Thomas R. Watkins, Robert C. Albini
Hearing Site: Los Angeles, CA
|  | $355,865 |
| 20-00944 | 01/28/2021 | Claimant(s): Julian Skalski
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Thomas R. Watkins, Edward H. Davis, Lynn Vivian Dymally
Hearing Site: Los Angeles, CA
| | $685,159 |
| 18-03385 | 09/02/2020 | Claimant(s): Jill Hotvet
Claimant Lawyers(s): Michael Anthony Strauss
Respondent(s): First Wilshire Securities.
Respondent Lawyers(s): Michael Lieb
Arbitrator(s): George H. Casey, Joseph Howard Cooper, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | |
| 19-00895 | 05/05/2020 | Claimant(s): Ramses Visher
Claimant Lawyers(s): Ramses David Visher
Respondent(s): AXA Advisors
Respondent Lawyers(s): Michael P. Bryant
Arbitrator(s): Elliott Finkel, Thomas R. Watkins, Elizabeth June Fehmel
Hearing Site: Los Angeles, CA
| | |
| 18-02493 | 06/20/2019 | Claimant(s): Arthur Rahmani, Jacqueline Palmer
Claimant Lawyers(s): Jackie Palmer
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Richard M. Norman, Thomas R. Watkins, Abraham Semaila Kamara
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-03238 | 12/13/2018 | Claimant(s): David Caidar, David Caidar Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Elliott D. Finkel, Constance Ellen Boukidis, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | $32,710 |
| 16-01550 | 06/19/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Adam A. Brown
Respondent(s): Edison Noboa
Respondent Lawyers(s): Jonathan Schwartz
Arbitrator(s): Victoria E. Johnson, Thomas R. Watkins, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 14-03166 | 04/11/2017 | Claimant(s): Jaleh Miller
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Steven A. Wawra, Nancy G. Harris, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-03495 | 11/16/2016 | Claimant(s): Sefferino Guerrera, Sefferino Guerrera IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments, David Kakuda, Morgan Stanley
Respondent Lawyers(s): Judy Louie, Kitoh Grey
Arbitrator(s): Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | Expungement |
