| 18-01667 | 02/20/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Mauricio Salvador Beugelmans
Respondent(s): Linda Chen, Robert Chen
Respondent Lawyers(s): Linda T. Chen, Robert K. Chen
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Alan Richard Carlisle
Hearing Site: San Francisco, CA
|  | $0 |
| 17-02774 | 02/20/2019 | Claimant(s): Dennis Francy
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Alexander Gorchakov, Nelson Felix, Wilfredo Felix, Primex
Respondent Lawyers(s): Alexander Gorchakov, Michael D. Handelsman
Arbitrator(s): Richard E. Lauziere, Ezio Borchini, John James McGovern
Hearing Site: Baltimore, MD
| | $72,896 |
| 18-01031 | 02/20/2019 | Claimant(s): Ashok Yalamati
Claimant Lawyers(s): Ashok Kumar Yalamati
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Ronald Chun, Carol Ann Jensen, Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | $0 |
| 18-02428 | 02/20/2019 | Claimant(s): Michael Somerby
Claimant Lawyers(s): Michael R Somerby
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | $0 |
| 18-00555 | 02/19/2019 | Claimant(s): Joan Waldman
Claimant Lawyers(s): Leslie S Akins
Respondent(s): Gary Wei, Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Robert D. Sussin, Robert B. Hansohn, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12504 |
| 17-01426 | 02/19/2019 | Claimant(s): Beatrice Welscher, Craig Welscher, Norma Welscher
Claimant Lawyers(s): Leonard J. Meyer
Respondent(s): Wells Fargo Clearing Services, Richard DeYoung
Respondent Lawyers(s): Edward F. Fernandes
Arbitrator(s): Thomas M. Campbell, Leonard J. Sullivan, Jeff Kilgore
Hearing Site: Houston, TX
| | $786,600 |
| 17-00793 | 02/15/2019 | Claimant(s): Patricia Khaleghi, The Clarence Burr Living Trust
Claimant Lawyers(s): William B. Federman
Respondent(s): Brian Johnson, Carter Baumert, Merrill Lynch Pierce Fenner & Smith Inc., Michael Rodriguez
Respondent Lawyers(s): Tara LaClair
Arbitrator(s): Michael R. Prescott, Robert J. Gregory, Edward J. Lynch
Hearing Site: Oklahoma City, OK
| | Expungement |
| 17-00246 | 02/14/2019 | Claimant(s): Walter Ryan
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): William M. Howard, Sheila Grinell, Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | Expungement |
| 17-02795 | 02/14/2019 | Claimant(s): Carol Brink
Claimant Lawyers(s): Lydia M. Floyd
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Sal Presti, Debra Granat Grudichak, Mark W Solock
Hearing Site: Chicago, IL
| | Expungement |
| 18-03178 | 02/14/2019 | Claimant(s): Kristi Prewitt
Claimant Lawyers(s): Kristi Prewitt
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | $0 |
