| 17-02119 | 07/17/2019 | Claimant(s): Matthew Maerz
Claimant Lawyers(s): Matthew Richard Maerz
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Muriel Desloovere, Alan E. Linden, H Russell Preston
Hearing Site: Columbia, SC
|  | $0 |
| 19-00374 | 07/17/2019 | Claimant(s): Larry Grooms
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Dylan Lantry
Respondent Lawyers(s): Gerald B. Kline
Arbitrator(s): Leonard M. Goldstein
Hearing Site: Denver, CO
| | $360 |
| 19-00486 | 07/17/2019 | Claimant(s): Christopher Rego
Claimant Lawyers(s): Christopher Rego
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | $0 |
| 18-02548 | 07/16/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Gilbert Serota
Respondent(s): Ki Ham
Respondent Lawyers(s): Roger D. Mellem
Arbitrator(s): Joseph C. Roberts, Katherine Hendricks, William P. Bergsten
Hearing Site: Seattle, WA
| | $0 |
| 17-01908 | 07/16/2019 | Claimant(s): Isabel Litovich-Quintana, Jose Torres
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Jill Pilgrim, Constance P. Barr, Irlanda Ruiz
Hearing Site: Miami, FL
| | $3,261,420 |
| 19-00291 | 07/16/2019 | Claimant(s): Gloria Martinez Torres, Julio Cay Montanez
Claimant Lawyers(s): Alfonso Fernandez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): David J. Butler, Roberto C. Quinones-Rivera
Arbitrator(s): Wayne Parker, Gerald Silverman, Virginia Lee Perez
Hearing Site: San Juan, PR
| | Dismissed by Rule 12206/12504 |
| 17-01368 | 07/15/2019 | Claimant(s): Chad Greer, Jerry Trawick, Louise Trawick, Marilyn Bjornas, Michelle Greer, Richard Bjornas
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Jerry McCutchen, Richard Murphy, Ronald Brendengen, Thomas Berthel, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): Lita S Menkin, Mark A. Myers, Mollie Wagner Neal
Hearing Site: Atlanta, GA
| | $1,161,120 |
| 18-02095 | 07/15/2019 | Claimant(s): Anna Tedesco, Michael Tedesco
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Jay Ambroson, Matthew Eckstein
Respondent Lawyers(s): Charles R. Jacob, Matthew Evan Eckstein
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | $1,319,080 |
| 18-00810 | 07/15/2019 | Claimant(s): Clara Luna, Marcelo Luna, Clara Luna IRA, Marcelo Luna IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): IMS Securities.
Respondent Lawyers(s): Jackie Wadsworth
Arbitrator(s): Daniel P. Urban, Jeff Kilgore, Brenda Pickens Seals
Hearing Site: Houston, TX
| | $582,644 |
| 18-01136 | 07/15/2019 | Claimant(s): Joseph Pokego, Ruth Pokego
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
| | Expungement |
