| 23-00625 | 09/15/2023 | Claimant(s): Kirk Badii
Claimant Lawyers(s): Stephan Louviere
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
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| 22-00721 | 06/01/2023 | Claimant(s): William Morrow
Claimant Lawyers(s): Zachary Morse
Respondent(s): Titan/Value Equities Group., Independent Financial Group., Value Equities Corporation
Respondent Lawyers(s): Michael Mullenniex, Robert L. Dix, Sarah J. Kreisman
Arbitrator(s): Morris S. Getzels
Hearing Site: San Diego, CA
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| 21-02721 | 06/23/2022 | Claimant(s): Craig Johnson
Claimant Lawyers(s): Zachary Morse
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): McClellon D. Cox
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
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| 20-03440 | 07/06/2021 | Claimant(s): Andrew Ruboyianes
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Morris S. Getzels, Stephanie P. Lebhar, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 20-02719 | 06/07/2021 | Claimant(s): Ming Chung
Claimant Lawyers(s): Erika Binnix
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Samantha D. Parrish
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
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| 20-02493 | 03/15/2021 | Claimant(s): Christopher Ficara
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Morris S. Getzels
Hearing Site: San Diego, CA
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| 20-00434 | 09/11/2020 | Claimant(s): Ryan Haslam
Claimant Lawyers(s): Frances Menzer
Respondent(s): New England Securities
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
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| 19-01831 | 02/04/2020 | Claimant(s): Mark Lininger
Claimant Lawyers(s): Harris Freedman
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
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| 18-03207 | 08/14/2019 | Claimant(s): Drew Freides
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Charles Evan Stewart
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
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| 18-01138 | 02/04/2019 | Claimant(s): Antoine Souma
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Cheryl S. Chang
Arbitrator(s): Barbara M. Zak, James R. Duncan, Morris S. Getzels
Hearing Site: Los Angeles, CA
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