| 21-02773 | 08/26/2022 | Claimant(s): Roberto Blanco
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC, Investors Capital Corp.
Respondent Lawyers(s): Christopher J. Murdoch, David Feldstein
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Albuquerque, NM
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| 21-00250 | 07/28/2021 | Claimant(s): Peggy Lao
Claimant Lawyers(s): Peggy Pek-Van Lao
Respondent(s): UVEST Financial Services Group.
Respondent Lawyers(s): Sara Davis
Arbitrator(s): Michael Lancaster Garcia, Chicora Martin, Andrew Kennon Jennings
Hearing Site: San Francisco, CA
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| 20-02916 | 07/12/2021 | Claimant(s): Thomas Sharp
Claimant Lawyers(s): Zachary Morse
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
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| 20-02788 | 06/23/2021 | Claimant(s): Jennifer Johnston
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
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| 20-03061 | 06/07/2021 | Claimant(s): Joanna Moran
Claimant Lawyers(s): Christina Z. Vourakis
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Reno, NV
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| 20-03024 | 04/06/2021 | Claimant(s): John Orito
Claimant Lawyers(s): Erika Binnix
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
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| 20-02861 | 03/04/2021 | Claimant(s): Brian Peardon
Claimant Lawyers(s): Kurt Zimmerman
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Andrew S. Azarmi
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
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| 20-01589 | 12/11/2020 | Claimant(s): Lorena Moudi
Claimant Lawyers(s): Robert L Gonser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
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| 19-00217 | 04/28/2020 | Claimant(s): Clayton Shum
Claimant Lawyers(s): Harris Freedman
Respondent(s): First Midwest Securities.
Respondent Lawyers(s): David Nevinski
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
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| 18-04376 | 10/11/2019 | Claimant(s): Mark Richmond
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
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