| 20-03242 | 12/24/2020 | Claimant(s): Marcus Fagersten
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 18-02429 | 11/11/2020 | Claimant(s): Pablo Marull
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Gloria Greco, Jennifer Krone, Merrill Lynch Pierce Fenner & Smith Inc., Roland Burgess, Wilfred Gallinek, William Thomas
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Arocles Aguilar, Alden Sharp Adkins, Page R Barnes
Hearing Site: San Francisco, CA
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| 20-00421 | 08/19/2020 | Claimant(s): Katie Buck
Claimant Lawyers(s): Harris Freedman
Respondent(s): H. Beck.
Respondent Lawyers(s): Matt Winterhalter
Arbitrator(s): Arocles Aguilar
Hearing Site: Honolulu, HI
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| 19-00915 | 02/04/2020 | Claimant(s): Patrick Gainer
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 17-02461 | 03/08/2019 | Claimant(s): Bradley Glasman
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Geoffrey S. Beckham
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 18-00768 | 02/20/2019 | Claimant(s): Joseph Caselle
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Randi Spallina
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 18-02875 | 12/24/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Roy Manriquez
Respondent Lawyers(s): Roy Arcadio Manriquez
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 17-01888 | 02/26/2018 | Claimant(s): Susanna Bracke
Claimant Lawyers(s): Adam M. Kauff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Denver G. Edwards
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 17-00941 | 11/14/2017 | Claimant(s): Joseph Seidler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 17-00085 | 09/18/2017 | Claimant(s): Xi Chen
Claimant Lawyers(s): Xi Chen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Ian Ross
Arbitrator(s): William C. Pack, Jeffrey M. Allen, Arocles Aguilar
Hearing Site: San Francisco, CA
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