| 23-01679 | 10/23/2023 | Claimant(s): Richard Davidson
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Steven Hirata
Respondent Lawyers(s): Steven Kiyoto Hirata
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
|  | $984,600 |
| 22-01625 | 03/15/2023 | Claimant(s): Lawrence Ford
Claimant Lawyers(s): La Verne C. Simmons
Respondent(s): Pershing LLC, Principal Securities., Principal Financial Group
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): William W. Haskell, David I. Levine, Michael D. Briggs
Hearing Site: San Francisco, CA
| | $0 |
| 20-01539 | 02/17/2023 | Claimant(s): Shannon Marquardt
Claimant Lawyers(s): Robert D. Loventhal
Respondent(s): First Republic Securities Company
Respondent Lawyers(s): Teresa Thong
Arbitrator(s): Lester Friedman, John J. Fitzpatrick, David I. Levine
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12212 and 12511 |
| 21-01453 | 04/08/2022 | Claimant(s): Ronnie and Dawn Doster Revocable Trust
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Brett Whitten, UBS Financial Services Inc.
Respondent Lawyers(s): Anastasia B. Wohar
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
| | $0 |
| 20-01066 | 12/22/2021 | Claimant(s): Edward Newman
Claimant Lawyers(s): Edward K. Newman
Respondent(s): Aja Hallin, Beth Kirkland, Elizabeth Roberts, Wells Fargo Clearing Services, Kevin Smith, Sanford Smith, Theresa Machi, Tomm Hudson
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Mary Margaret Bush, David I. Levine, Christopher Cother Powers
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 |
| 20-01189 | 01/07/2021 | Claimant(s): Valeria Blanchard
Claimant Lawyers(s): Lauren B. Koch
Respondent(s): First Financial Equity Corporation
Respondent Lawyers(s): Jason L. Cassidy
Arbitrator(s): David I. Levine, Mary H. Evans, Arocles Aguilar
Hearing Site: Reno, NV
| | Dismissed by Rules 12200, 12201, and 12504 |
| 19-01297 | 02/20/2020 | Claimant(s): Kristen Harnage
Claimant Lawyers(s): Etan E Rosen
Respondent(s): Jeromy Pierroz, Scott Andersen
Respondent Lawyers(s): Michael J. Margosian, Peter R. Boutin
Arbitrator(s): David I. Levine, Ronald Chun, Michael Robert Addison
Hearing Site: San Francisco, CA
| | $0 |
| 19-01596 | 01/10/2020 | Claimant(s): Laura Nasatir, Laura M. Nasatir Roth IRA, Laura M. Nasatir SEP IRA, Laura M. Nasatir 401K, Laura M. Nasatir Defined Benefit Plan, Laura M. Nasatir Trust
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
| | $0 |
| 18-00253 | 08/29/2019 | Claimant(s): Sandra Althaus, Sandra Althaus IRA, Sandra Althaus Roth IRA, Sandra Althaus SEP IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Daniel M. Yamshon, David I. Levine, Michael Lancaster Garcia
Hearing Site: Reno, NV
| | $721,117 |
