| 21-01126 | 01/27/2022 | Claimant(s): David Trogan
Claimant Lawyers(s): Chelsea Masters
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, Randi Perry Spallina
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 21-01300 | 07/01/2021 | Claimant(s): Drew Freides
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 20-02090 | 05/20/2021 | Claimant(s): Kelley Slaught
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Paul King
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
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| 20-02721 | 05/14/2021 | Claimant(s): Norman Robertson
Claimant Lawyers(s): Frances Menzer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeffrey P. Palmer
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
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| 20-02917 | 05/05/2021 | Claimant(s): Kurt Jackson
Claimant Lawyers(s): Frances Menzer
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 20-01501 | 12/01/2020 | Claimant(s): Steven Ferrara
Claimant Lawyers(s): Steven Ferrara
Respondent(s): Wells Fargo Advisors, Scott Trueman
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
|  | $0 |
| 20-01436 | 11/27/2020 | Claimant(s): Elliot Ichinose
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Judy Louie
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 19-03630 | 11/17/2020 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): UBS Financial Services Inc., Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David Purcell, Elizabeth H. Lindh
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 19-01639 | 04/17/2020 | Claimant(s): Steven Margulin
Claimant Lawyers(s): Tyson W. Kovash
Respondent(s): Centaurus Financial., National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels, Michael West
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 18-03255 | 03/30/2020 | Claimant(s): Valerie Lupin
Claimant Lawyers(s): Adrienne R. Hahn
Respondent(s): Craig Stevens, J.P. Morgan Securities, Paul San
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): G Thomas Fleming, George L. Tindall, Annette Gres Shepherd
Hearing Site: Los Angeles, CA
| | $0 |
