| 20-00377 | 09/23/2021 | Claimant(s): Benjamin Mahdavi
Claimant Lawyers(s): Frances Menzer
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Scott T. Nonaka
Arbitrator(s): Barbara M. Anscher
Hearing Site: San Francisco, CA
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| 18-00573 | 02/18/2021 | Claimant(s): Frank Cuenca, Timothy Sullivan
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): National Planning Holding LLC, SII Investments.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Barbara M. Anscher, Thomas Arthur Cohen, Christopher Cother Powers
Hearing Site: San Francisco, CA
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| 17-00087 | 11/24/2017 | Claimant(s): Michael Rom
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Philip Steele, First Financial Services LLC
Respondent Lawyers(s): Jeffrey L. Fillerup
Arbitrator(s): Douglas W. Oldfield, Barbara M. Anscher, Jeffrey Scott Winaker
Hearing Site: San Francisco, CA
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| 11-04491 | 05/22/2013 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Edward Wedbush, Holly Hansen
Respondent Lawyers(s): Charles LaChaussee, David H.S. Commins
Arbitrator(s): Carlos Richard Mangum, Robin Lynn Berry, Barbara M. Anscher
Hearing Site: San Francisco, CA
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| 11-02752 | 04/04/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): James Kirwan, Joanne Meninger
Respondent Lawyers(s): Paul A. Lieberman
Arbitrator(s): Jarrott T. Miller, Barbara M. Anscher, Philip Aaron Tymon
Hearing Site: San Francisco, CA
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| 09-06788 | 04/21/2011 | Claimant(s): Spade Chan
Claimant Lawyers(s): Mark P. Meuser
Respondent(s): Bruce Bordelon, Ameriprise Financial Services., Johnny Ng
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Frank R Weaver, Nancy Hutt, Barbara M. Anscher
Hearing Site: San Francisco, CA
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| 06-05331 | 11/09/2007 | Claimant(s): Christopher Allick
Claimant Lawyers(s): David H.S. Commins
Respondent(s): Peter Fader, Urchin Capital Partners LLC
Respondent Lawyers(s): Alvin L. Fishman
Arbitrator(s): Peter M Brabbee, Barbara M. Anscher, Osei J Adoma
Hearing Site: San Francisco, CA
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