21-01278 | 12/21/2021 | Claimant(s): Hajime Amaya Claimant Lawyers(s): Samuel B. Edwards Respondent(s): Unionbanc Investment Services Respondent Lawyers(s): Neal S. Robb Arbitrator(s): Herbert Liberman, Herb Schwartz, Peter H. Daly Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
20-02116 | 12/17/2021 | Claimant(s): The Evan Cole Revocable Trust Claimant Lawyers(s): Samuel B. Edwards Respondent(s): First Republic Investment Management Inc, First Republic Securities Company Respondent Lawyers(s): Neal S. Robb Arbitrator(s): Ronald L. Cameron, Richard M. Norman, Robert B. Hansohn Hearing Site: Los Angeles, CA
| | Expungement |
20-01669 | 12/09/2021 | Claimant(s): Lacey Keath Claimant Lawyers(s): Samuel B. Edwards Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Jason R. Lindsay Arbitrator(s): Jack Chapline Vaughan, Allan R. Lazor, James Douglas Gaughan Hearing Site: Houston, TX
| | $4,000,000 |
20-01787 | 08/23/2021 | Claimant(s): Allison Walk, Stephen Walk Claimant Lawyers(s): Samuel B. Edwards Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David L. Goldberg Arbitrator(s): Lawrence E. Dube, Peter H. Goldberg, Anitra Oluonye Hearing Site: Baltimore, MD
| | $405,000 |
19-01505 | 08/17/2020 | Claimant(s): Joshua Travis Anue Trust, Tenaya Laurel Anue Trust Claimant Lawyers(s): Samuel B. Edwards Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Robert James Wilkie Hearing Site: San Francisco, CA
| | $189,009 |
19-00021 | 05/14/2020 | Claimant(s): Earnest Frederick, Timothy Moeller Claimant Lawyers(s): Samuel B. Edwards Respondent(s): LPL Financial LLC, First National Bank of Shiner Respondent Lawyers(s): Jack D. Ballard Arbitrator(s): Mary Esther Escobedo, Montie G. Grimes, Shannon Lyn Mays Hearing Site: Houston, TX
| | $0 |
18-00528 | 09/04/2019 | Claimant(s): Hermann Spranger, II IRA Claimant Lawyers(s): Samuel B. Edwards Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Adam M. Wenner Arbitrator(s): Patrick R. Sughroue, Terrance J. Dorcy, Mark Scarr Hearing Site: Detroit, MI
| | $0 |
17-01230 | 03/20/2019 | Claimant(s): Richard Malouf, Stephanie Malouf, Gavin J. Malouf, Richard J. Malouf II, Sunny N. Malouf, Richard John Malouf IRA, Stephenie Leanne Malouf IRA, 2009 Strait Lane Family LP, RJM 2008 Irrevocable Trust, Richard John Malouf II Trust, Stephenie L. Malouf TTEE U/A Claimant Lawyers(s): Samuel B. Edwards Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): David I. Monteiro Arbitrator(s): Mark L. Williams, Mary Elizabeth Skelnik, Zachary Charles Haston Hearing Site: Dallas, TX
| | Expungement |
15-02387 | 12/14/2018 | Claimant(s): El Capitan Limited Corporation Claimant Lawyers(s): Samuel B. Edwards Respondent(s): TD Ameritrade. Respondent Lawyers(s): Neil Baritz Arbitrator(s): Jeffrey M. Allen, Lawrence R. Mills, Anne M. Lawlor Goyette Hearing Site: San Francisco, CA
| | $0 |
13-03520 | 02/17/2017 | Claimant(s): Luis Romero Lopez, Luis R. Romero Lopez Pledged Collateral Claimant Lawyers(s): Luis J. Acevedo-Bengoechea, Samuel B. Edwards Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico Respondent Lawyers(s): Donald F. Winningham, Roberto C. Quinones-Rivera Arbitrator(s): Joyce F. Glucksman, Reinaldo Royo, Robert J. Buchner Hearing Site: San Juan, PR
| | $10,000,000 |