| 20-02456 | 02/17/2021 | Claimant(s): Steven Quinly
Claimant Lawyers(s): Robert L Gonser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
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| 20-01102 | 02/10/2021 | Claimant(s): James Kirwan
Claimant Lawyers(s): Harris Freedman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 20-01974 | 02/09/2021 | Claimant(s): Russell Abbott
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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| 17-03293 | 02/08/2021 | Claimant(s): Elvira Feliksa, Michael Feliksa, Elvira E. Feliksa Roth IRA, Michael J. Feliksa IRA, Michael J. Feliksa Roth IRA, Elvira E. Feliksa Trust
Claimant Lawyers(s): Deanna Besbekos-LaPage
Respondent(s): Scott Reed
Respondent Lawyers(s): Michael D. Shore
Arbitrator(s): John J. Fitzpatrick, George King, Robert James Wilkie
Hearing Site: San Francisco, CA
|  | Expungement |
| 20-01593 | 02/02/2021 | Claimant(s): Richard Baer
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Lion Street Financial
Respondent Lawyers(s): John Burmeister
Arbitrator(s): Kevin C. Coleman
Hearing Site: San Francisco, CA
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| 20-01592 | 01/29/2021 | Claimant(s): Richard Baer
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): John Hancock Distributors LLC
Respondent Lawyers(s): William A. Gottlieb
Arbitrator(s): Kevin C. Coleman
Hearing Site: San Francisco, CA
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| 20-01465 | 01/28/2021 | Claimant(s): Brian Addington
Claimant Lawyers(s): Brian Luther
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
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| 20-03242 | 12/24/2020 | Claimant(s): Marcus Fagersten
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 20-01837 | 12/23/2020 | Claimant(s): Christine McBroom
Claimant Lawyers(s): Sylvia M Scott
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
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| 20-01589 | 12/11/2020 | Claimant(s): Lorena Moudi
Claimant Lawyers(s): Robert L Gonser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
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