| 21-00819 | 05/12/2023 | Claimant(s): Rotem Perelmuter
Claimant Lawyers(s): Geoffrey T. Macbride
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Jeffrey M. Allen, Dorian Antoine Peters, Nancy Lynne Williamson
Hearing Site: San Francisco, CA
|  | $3,976,050 |
| 22-00998 | 09/12/2022 | Claimant(s): Barry Layton
Claimant Lawyers(s): Barry A. Layton
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Karen Stymest
Arbitrator(s): Jeffrey M. Allen
Hearing Site: Reno, NV
| | $0 |
| 20-01323 | 11/09/2021 | Claimant(s): Carl Amon
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Jeffrey M. Allen, Jon Richard Catten, Leon Werner Crockett
Hearing Site: Salt Lake City, UT
| | $0 |
| 20-00750 | 07/20/2020 | Claimant(s): Derek Tumulak
Claimant Lawyers(s): Derek Tumulak
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $0 |
| 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 |
| 14-01724 | 04/26/2016 | Claimant(s): Evelyn Johnson, Feliciano Dizon, Frank DiGrande, Harriett Eubanks, Marina Bautista, Trilby DiGrande
Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers
Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard McCollam
Respondent Lawyers(s): Paul W. Thomas, Scott L. Metzger, Theodore J. Sawicki
Arbitrator(s): Joseph H. Sturdivant, Amy Seltzer, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $91,908 |
| 13-02150 | 07/15/2015 | Claimant(s): Henry Mora, Lionel Gonzalez, Michele Lewis
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Thomas Fleming
Arbitrator(s): Jeffrey M. Allen, Debra Brothers Self, Byron L. Dare
Hearing Site: San Francisco, CA
| | $1,401,700 |
| 13-02750 | 04/09/2015 | Claimant(s): Hiroshi & Ione Ishii Family Trust Dated
Claimant Lawyers(s): Richard M. Kelly
Respondent(s): Jason Chan, Sagepoint Financial.
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): William Ziering, Darryl J. Horowitt, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $5,979 |
| 12-00167 | 03/04/2014 | Claimant(s): Sehat Sutardja, Weili Dai, Sutardja Family Partners
Claimant Lawyers(s): David Elsberg, John Quinn
Respondent(s): Bradley Defoor, Goldman, Sachs and Company, Graham Brandt
Respondent Lawyers(s): David L. Zifkin, David R. Boyd, Jonathan D. Schiller
Arbitrator(s): Thomas J. LoSavio, Jonathan Holman Hathaway, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $0 |
| 10-05772 | 06/06/2012 | Claimant(s): Dani Eder IRA Account
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): David N. Luder
Arbitrator(s): Linda B. Kelly, Jeffrey M. Allen, Donald Dreyfus
Hearing Site: Birmingham, AL
| | $0 |
