| 21-01507 | 11/12/2021 | Claimant(s): Jackie Robinson
Claimant Lawyers(s): Jackie Robinson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
|  | $0 |
| 20-03071 | 11/10/2021 | Claimant(s): Mathew Schweifler
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Rosemary Francavilla
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 20-03645 | 11/02/2021 | Claimant(s): Javier Ovalles
Claimant Lawyers(s): Javier Ovalles
Respondent(s): Transamerica Investors Securities Corp.
Respondent Lawyers(s): Misty A. Murray
Arbitrator(s): William W. Haskell, Arocles Aguilar, Douglas J. Pavese
Hearing Site: San Francisco, CA
| | |
| 21-01046 | 10/27/2021 | Claimant(s): Tina Wang
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | |
| 19-03052 | 10/26/2021 | Claimant(s): Marie Mesmer
Claimant Lawyers(s): Tiega Varlack
Respondent(s): Raymond James Financial Services., Ka Ki Leung
Respondent Lawyers(s): Chad E. Weaver
Arbitrator(s): Thomas D. Reese, William W. Haskell, David I. Levine
Hearing Site: San Francisco, CA
| | $0 |
| 20-02278 | 10/19/2021 | Claimant(s): Christopher Scroggins
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 19-02152 | 09/30/2021 | Claimant(s): David M. Bush and Lesly S. Bush
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Mid Atlantic Capital Corporation
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Alden Sharp Adkins, Gary Kostow, Robert James Favole
Hearing Site: San Francisco, CA
| | $240,562 |
| 20-02317 | 09/24/2021 | Claimant(s): Marina Delacruz
Claimant Lawyers(s): Marina Delacruz
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Timothy P. Bogan, Philip Aaron Tymon, Jon H. Sylvester
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12212 |
| 20-00377 | 09/23/2021 | Claimant(s): Benjamin Mahdavi
Claimant Lawyers(s): Frances Menzer
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Scott T. Nonaka
Arbitrator(s): Barbara M. Anscher
Hearing Site: San Francisco, CA
| | |
| 21-00530 | 09/23/2021 | Claimant(s): Wen Wu
Claimant Lawyers(s): Zachary T. Hayes- Macaluso
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
