| 21-00025 | 06/24/2021 | Claimant(s): Anthony Calderon
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Robert E. Jenks
Hearing Site: Phoenix, AZ
| | |
| 20-02736 | 06/15/2021 | Claimant(s): Damian Dering
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 20-02920 | 06/14/2021 | Claimant(s): Tony Krvaric
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
| | |
| 20-02794 | 06/10/2021 | Claimant(s): Daniel Neil
Claimant Lawyers(s): Frances Menzer
Respondent(s): Securities America.
Respondent Lawyers(s): Chad E. Weaver
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
| | |
| 20-03092 | 04/13/2021 | Claimant(s): David Tam
Claimant Lawyers(s): Samantha Parrish
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
| | |
| 20-02584 | 03/23/2021 | Claimant(s): Michael Jeppson
Claimant Lawyers(s): David Harrison
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 19-03651 | 12/17/2020 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 20-01170 | 12/04/2020 | Claimant(s): Robert Tomlinson
Claimant Lawyers(s): Chelsea Masters
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 17-02090 | 11/23/2020 | Claimant(s): Colleen Simmons, Kenneth Thompson, Kenneth P. Thompson ROTH IRA, Simmons Living Trust U/A 08/30/02, Thompson Living Trust U/A 05/31/02
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Hightower Securities, Hightower Advisors
Respondent Lawyers(s): Matthew B. Henneman
Arbitrator(s): Richard M. Norman, Robert E. Jenks, Milton N. Gross
Hearing Site: Los Angeles, CA
|  | Settlement |
| 20-01212 | 09/21/2020 | Claimant(s): David Van Acker, Paul Van Acker
Claimant Lawyers(s): Cheryl Shao-Raw Chang
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
