| 17-02495 | 01/31/2022 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): Michael Margiotta
Respondent Lawyers(s): Steve Alan Buchwalter
Arbitrator(s): Paula K. Konikoff, George Herman Frisch, Jonathan Gartner
Hearing Site: Los Angeles, CA
| | |
| 19-03652 | 04/13/2021 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 19-03630 | 11/17/2020 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): UBS Financial Services Inc., Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David Purcell, Elizabeth H. Lindh
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 18-02782 | 11/25/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh, Nicholas Y. Lin
Arbitrator(s): George Herman Frisch
Hearing Site: Los Angeles, CA
| | |
| 19-01230 | 11/06/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): John Agostino
Respondent Lawyers(s): John Shannon Agostino
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
| | |
| 18-03660 | 10/11/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh, Nicholas Y. Lin
Arbitrator(s): Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
| | |
| 18-03710 | 08/16/2019 | Claimant(s): David James
Claimant Lawyers(s): Michelle Atlas
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Anthony D. DeToro
Hearing Site: Los Angeles, CA
| | |
| 18-03073 | 03/25/2019 | Claimant(s): William Ferguson
Claimant Lawyers(s): William Dean Ferguson
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Merton E. Marks
Hearing Site: Phoenix, AZ
| | |
| 15-01866 | 02/13/2018 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): Isidro Miramontes, Miramontes Capital
Respondent Lawyers(s): Anthony R. Bisconti, David Harrison
Arbitrator(s): Milton N. Gross, Marie Ann Stein, Mark Thomas Risner
Hearing Site: Los Angeles, CA
| | |
| 16-03593 | 08/16/2017 | Claimant(s): Douglas Bielefeldt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Jeffrey M. Allen
Hearing Site: Portland, OR
| | |
