| 21-02334 | 04/08/2022 | Claimant(s): Vu Nguyen
Claimant Lawyers(s): Zachary Morse
Respondent(s): Ameriprise Financial Services., Wells Fargo Investments, Countrywide Investment Services., Unionbanc Investment Services
Respondent Lawyers(s): Howard M. Klausmeier, Laura A. Pizzitola, Neal S. Robb, Valerie Holder
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
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| 21-01453 | 04/08/2022 | Claimant(s): Ronnie and Dawn Doster Revocable Trust
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Brett Whitten, UBS Financial Services Inc.
Respondent Lawyers(s): Anastasia B. Wohar
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
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| 21-02366 | 04/01/2022 | Claimant(s): James Davis
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Securities America., Centaurus Financial.
Respondent Lawyers(s): Gregory M. Curley, Michael West
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
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| 21-01747 | 03/31/2022 | Claimant(s): Michael Ross
Claimant Lawyers(s): Ariel Okonsky
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Suzette J. Barnes
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
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| 21-02138 | 03/25/2022 | Claimant(s): Ian Castille
Claimant Lawyers(s): Ariel Okonsky
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
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| 21-00180 | 03/22/2022 | Claimant(s): Clayton Shum
Claimant Lawyers(s): Harris Freedman
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
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| 21-00918 | 03/22/2022 | Claimant(s): Jalaleddin Afifi
Claimant Lawyers(s): Robert Gonser
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Scott T. Nonaka
Arbitrator(s): Dean J. Dietrich, Julianne Averill, Andrew Kennon Jennings
Hearing Site: San Francisco, CA
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| 21-02043 | 03/22/2022 | Claimant(s): David Amann
Claimant Lawyers(s): Brian Luther
Respondent(s): Edward Jones
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): Alden Sharp Adkins
Hearing Site: San Francisco, CA
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| 20-03047 | 03/18/2022 | Claimant(s): Robert Krieger
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A Pizzitola
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
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| 21-01092 | 03/09/2022 | Claimant(s): Randall Krenzin
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services, Banc of America Investment Services Inc.
Respondent Lawyers(s): Geoffrey S. Beckham, Laura A. Pizzitola
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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