| 21-01507 | 11/12/2021 | Claimant(s): Jackie Robinson
Claimant Lawyers(s): Jackie Robinson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
|  | $0 |
| 19-03052 | 10/26/2021 | Claimant(s): Marie Mesmer
Claimant Lawyers(s): Tiega Varlack
Respondent(s): Raymond James Financial Services., Ka Ki Leung
Respondent Lawyers(s): Chad E. Weaver
Arbitrator(s): Thomas D. Reese, William W. Haskell, David I. Levine
Hearing Site: San Francisco, CA
| | $0 |
| 19-02152 | 09/30/2021 | Claimant(s): David M. Bush and Lesly S. Bush
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Mid Atlantic Capital Corporation
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Alden Sharp Adkins, Gary Kostow, Robert James Favole
Hearing Site: San Francisco, CA
| | $240,562 |
| 20-02317 | 09/24/2021 | Claimant(s): Marina Delacruz
Claimant Lawyers(s): Marina Delacruz
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Timothy P. Bogan, Philip Aaron Tymon, Jon H. Sylvester
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12212 |
| 20-02209 | 08/31/2021 | Claimant(s): Nirmada Kaufman, Nirmada Lauren Ann Kaufman Rev. Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Morgan Stanley, Peter Waterloo
Respondent Lawyers(s): Kathleen Salvaty
Arbitrator(s): Clifford A. Threlkeld, Robert James Favole, Norman D Menegat
Hearing Site: San Francisco, CA
| | Expungement |
| 20-01987 | 08/25/2021 | Claimant(s): Karin Von Burg
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Lloyd R. Schwed
Arbitrator(s): Joseph C. Roberts, Laurel Littman Gothelf, Gary H. Kahn
Hearing Site: San Francisco, CA
| | $0 |
| 21-00646 | 08/05/2021 | Claimant(s): Erin Elskes, Javier Sanchez Nieto
Claimant Lawyers(s): Erin E Elskes, Javier Sanchez Nieto
Respondent(s): Amy Blodgett, Ameritas Advisory Services
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $20,703 |
| 21-00946 | 08/02/2021 | Claimant(s): Steven Yeung
Claimant Lawyers(s): Steven Yeung
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | $0 |
| 19-01892 | 07/13/2021 | Claimant(s): Susan Gordon Neal
Claimant Lawyers(s): Adam J. Stewart
Respondent(s): David Reynolds, Steven Wright, Principal Securities.
Respondent Lawyers(s): David Lee Reynolds, Kathryn Roe Eldridge
Arbitrator(s): Ralph A. Cotton, Juleanne (Julie) A. Thiebaut, Stanley Data
Hearing Site: San Francisco, CA
| | Expungement |
| 21-00619 | 06/23/2021 | Claimant(s): Richardvon Pey
Claimant Lawyers(s): Richardvon Pey
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $0 |
