| 21-00946 | 08/02/2021 | Claimant(s): Steven Yeung
Claimant Lawyers(s): Steven Yeung
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
|  | $0 |
| 20-03057 | 07/29/2021 | Claimant(s): Justin Bachman
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Brokerbank Securities.
Respondent Lawyers(s): Philip Wright
Arbitrator(s): Ralph A. Cotton
Hearing Site: San Francisco, CA
| | |
| 21-00250 | 07/28/2021 | Claimant(s): Peggy Lao
Claimant Lawyers(s): Peggy Pek-Van Lao
Respondent(s): UVEST Financial Services Group.
Respondent Lawyers(s): Sara Davis
Arbitrator(s): Michael Lancaster Garcia, Chicora Martin, Andrew Kennon Jennings
Hearing Site: San Francisco, CA
| | |
| 20-03676 | 07/26/2021 | Claimant(s): Leslie Miller
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeff Palmer
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
| | |
| 19-01892 | 07/13/2021 | Claimant(s): Susan Gordon Neal
Claimant Lawyers(s): Adam J. Stewart
Respondent(s): David Reynolds, Steven Wright, Principal Securities.
Respondent Lawyers(s): David Lee Reynolds, Kathryn Roe Eldridge
Arbitrator(s): Ralph A. Cotton, Juleanne (Julie) A. Thiebaut, Stanley Data
Hearing Site: San Francisco, CA
| | Expungement |
| 20-02916 | 07/12/2021 | Claimant(s): Thomas Sharp
Claimant Lawyers(s): Zachary Morse
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 20-03470 | 07/09/2021 | Claimant(s): Clayton Shum
Claimant Lawyers(s): Harris Freedman
Respondent(s): First Midwest Securities.
Respondent Lawyers(s): David Nevinski
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | |
| 20-02730 | 07/07/2021 | Claimant(s): Everest Wong
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Ann Elizabeth Sarli
Hearing Site: San Francisco, CA
| | |
| 20-02995 | 07/06/2021 | Claimant(s): Bin Zhai
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | |
| 20-02646 | 06/30/2021 | Claimant(s): Ying Zhang
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Patrick Mulligan
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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