| 20-02256 | 06/24/2021 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Garry T. Stevens
Respondent(s): John Marty
Respondent Lawyers(s): John Eugene Marty
Arbitrator(s): Elmo E. Wedderburn, Mary Margaret Bush, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
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| 20-02788 | 06/23/2021 | Claimant(s): Jennifer Johnston
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
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| 21-00619 | 06/23/2021 | Claimant(s): Richardvon Pey
Claimant Lawyers(s): Richardvon Pey
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
|  | $0 |
| 20-01393 | 06/22/2021 | Claimant(s): Anil Gulati
Claimant Lawyers(s): Louis Tambaro
Respondent(s): Woodbury Financial Services., AXA Advisors
Respondent Lawyers(s): Chad Weaver, Michael Bryant
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
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| 20-02649 | 06/17/2021 | Claimant(s): Ying Zhang
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Patrick Mulligan
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 20-03128 | 06/03/2021 | Claimant(s): Donna Stevenson
Claimant Lawyers(s): David Monsour
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Philip A. Pizelo
Arbitrator(s): Kevin C. Coleman
Hearing Site: San Francisco, CA
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| 20-03697 | 06/02/2021 | Claimant(s): Dennis de Champeaux
Claimant Lawyers(s): Dennis de Champeaux
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | $213 |
| 20-02862 | 05/28/2021 | Claimant(s): Brian Peardon
Claimant Lawyers(s): Harris Freedman
Respondent(s): ProEquities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
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| 20-02991 | 05/25/2021 | Claimant(s): Kirk Mandlin
Claimant Lawyers(s): Chelsea Masters
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
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| 20-03051 | 05/25/2021 | Claimant(s): Christopher Carolan
Claimant Lawyers(s): Robert L Gonser
Respondent(s): Morgan Stanley & Co., A. G. Edwards & Sons.
Respondent Lawyers(s): Geoff Beckham, Simon M. Levy
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
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