| 21-00928 | 02/25/2022 | Claimant(s): Zahid Awan
Claimant Lawyers(s): Zahid H Awan
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Travis L. Salmon
Arbitrator(s): Richard Maurice Robinson
Hearing Site: Los Angeles, CA
|  | Dismissed by Rule 12212/12511 |
| 19-03132 | 04/09/2020 | Claimant(s): Barak Raviv
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Samantha D. Parrish
Arbitrator(s): Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | |
| 17-00467 | 08/09/2019 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Michael Jeppson, Raymond James Financial Services.
Respondent Lawyers(s): David Harrison, Devin A. Donohue
Arbitrator(s): Jeffrey E. Skogsbergh, Richard Maurice Robinson, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 16-00762 | 04/06/2017 | Claimant(s): Larry Rabineau
Claimant Lawyers(s): Larry Rabineau
Respondent(s): Donald Kartoon, Morgan Stanley
Respondent Lawyers(s): Christine A. Kendrick
Arbitrator(s): Larry Edmonson, Richard Maurice Robinson, Matthew Syken
Hearing Site: Los Angeles, CA
| | $4,000 |
| 15-01169 | 12/19/2016 | Claimant(s): Dolores Hsu, Vadim Hsu
Claimant Lawyers(s): Morse Taylor
Respondent(s): Erin McNelly, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Scott E. Rahn
Arbitrator(s): David J. Anderson, Robert A. Lombardi, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | $31,682 |
| 12-02867 | 03/21/2013 | Claimant(s): Yin Ting Cheng
Claimant Lawyers(s): Alvin Sandjaya
Respondent(s): Longview Financial Group
Respondent Lawyers(s): J. Stuart Schultz
Arbitrator(s): Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | |
| 11-03380 | 02/28/2012 | Claimant(s): Xinyi Guo
Claimant Lawyers(s): Xinyi Guo
Respondent(s): Ivy Tam, MITAA Global Securities
Respondent Lawyers(s): Ivy Waiwan Tam, Marc A. Oliver
Arbitrator(s): Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | $213 |
| 08-04912 | 08/19/2010 | Claimant(s): Alan Schildhorn, David LaVance, Erin Koury, Grady Hunt, Howard McNeil, Jeffrey Koury, Martha LaVance, NFS/FMTC Rollover IRA FBO Howard & Donna
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ellyn McColgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, Ted Nelson, FMR Corporation
Respondent Lawyers(s): Brian J. Ellis, H Thomas Fehn, Kevin J. Woods, Tracy L. Gerber
Arbitrator(s): John B. Wells, Donald S. Simons, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 07-01110 | 05/27/2008 | Claimant(s): Joseph Martelli
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Nicholas Natale, Granite Associates.
Respondent Lawyers(s): Nicholas A. Natale
Arbitrator(s): Dawn M. Kirchner, Edward A. Trabin, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | $0 |
