| 20-02086 | 06/15/2022 | Claimant(s): Shawn Parr, TTEE of Parr Family Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Herbert Liberman, Randy R. Maher, William Richard Espino
Hearing Site: San Diego, CA
|  | Expungement |
| 19-03520 | 05/04/2022 | Claimant(s): Abbas Azimi
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Herbert Liberman, Kevin K. Forrester, Randall B Christison
Hearing Site: San Diego, CA
| | Expungement |
| 20-02914 | 10/01/2021 | Claimant(s): Ronald Lane, The Ronald W. Lane Rollover IRA
Claimant Lawyers(s): Ronald W. Lane
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | Expungement |
| 19-01270 | 09/17/2019 | Claimant(s): Rogelio Silva
Claimant Lawyers(s): Rogelio Silva
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
| | $0 |
| 17-03338 | 07/19/2018 | Claimant(s): Michael Loesberg
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | $0 |
| 17-01518 | 01/22/2018 | Claimant(s): Carol Baumgartner, Robert Baumgartner
Claimant Lawyers(s): Robert J. Baumgartner
Respondent(s): Kirk Ongman, UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): James A. Murphy
Hearing Site: Chicago, IL
| | $0 |
| 14-02763 | 12/15/2016 | Claimant(s): Patricia Flock, Shmily Trust U/A dtd 10/04/2000
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): William M. Howard, Donald Dreyfus, Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | Expungement |
| 14-03440 | 12/01/2016 | Claimant(s): George and Gloria Brooks
Claimant Lawyers(s): Steven D, Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): George S. Willingham, Harvey R. Linder, James C. Hoover
Hearing Site: Atlanta, GA
| | Expungement |
| 14-02694 | 07/15/2016 | Claimant(s): Larry and Carol Wiles, ATBE
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Steven M. Feder, Richard J. Lawrence, Wylie G. Hairgrove
Hearing Site: Denver, CO
| | Expungement |
| 14-00091 | 02/09/2016 | Claimant(s): Rodney Shuck, April C. Shuck JTWROS w/Rodney Shuck
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Robert Charkovsky, William P. Loughnane, Marcus G. Lashley
Hearing Site: Norfolk, VA
| | Expungement |
