| 22-01809 | 05/31/2024 | Claimant(s): Andrew Mykletun, Einar Mykletun, Nidhi Mykletun
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): American Trust Investment Services.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Edith N. Dinneen, Maureen Weston, Delton R Henderson
Hearing Site: Los Angeles, CA
|  | Expungement |
| 22-02847 | 04/05/2024 | Claimant(s): Lorenzo Bettino
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Herbert Liberman, Paul E. Dahlman, John (Jack) Louis Neveaux
Hearing Site: Denver, CO
| | $0 |
| 21-00320 | 05/05/2023 | Claimant(s): Fred Shahan, Wendy Cordell, on behalf of his IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Darol Paulsen, John Nguyen, Jonathan French, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Barbara M. Zak, Herbert Liberman, Deanna J. Johnson
Hearing Site: San Diego, CA
| | $780,220 |
| 19-01127 | 04/28/2023 | Claimant(s): Trent L. Rosenthal Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Francis Joseph Bourgeois, Julie Marie Miller, Edwin Kisiel
Hearing Site: Houston, TX
| | Expungement |
| 20-01873 | 04/25/2023 | Claimant(s): Concert Capital Limited
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Martin A. Feigenbaum, Stephanie Jeannette Charny, Stephen Robert Tiernay
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12212 |
| 22-00187 | 03/01/2023 | Claimant(s): Janet Morris, Janet Morris on Behalf of Her IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): NPB Financial Group
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Edith N. Dinneen
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 19-01015 | 02/23/2023 | Claimant(s): Worldscale Association (NYC) Inc.
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Clarence Smith, Edmund Timothy Donovan, Sofia Balile
Hearing Site: New York, NY
| | $0 |
| 20-01201 | 09/01/2022 | Claimant(s): The Barbara M. Estay Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borelli
Arbitrator(s): Roger C. Benson, Alan E. Linden, Lynda Joyce Howell
Hearing Site: Raleigh, NC
| | $468,126 |
| 20-01660 | 06/01/2022 | Claimant(s): Milton Smith, Cabot Smith, as Trustee
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J Matthew W. Haws
Arbitrator(s): Peter M Cosel, Patrick Sullivan, Gail Sillman
Hearing Site: Boston, MA
| | $0 |
| 19-02084 | 03/29/2022 | Claimant(s): Tian Lu
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Smansa Chu, Cetera Investment Services LLC
Respondent Lawyers(s): Christina Z. Vourakis
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | Expungement |
