| 19-00217 | 04/28/2020 | Claimant(s): Clayton Shum
Claimant Lawyers(s): Harris Freedman
Respondent(s): First Midwest Securities.
Respondent Lawyers(s): David Nevinski
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 19-01556 | 03/17/2020 | Claimant(s): Daniella Rand
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeffrey S. Jacobi
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 18-02379 | 03/12/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Kevin Woods
Respondent(s): David Krikorian
Respondent Lawyers(s): Melinda Jane Steuer
Arbitrator(s): Philip Aaron Tymon, Kevin C. Coleman, Meredith F. Hoffman
Hearing Site: San Francisco, CA
| | |
| 19-02884 | 03/04/2020 | Claimant(s): Securities America.
Claimant Lawyers(s): Chad Weaver
Respondent(s): Ryan Kaufman
Respondent Lawyers(s): Ryan Thomas Kaufman
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 19-03682 | 03/04/2020 | Claimant(s): Neil Konigsberg
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 19-03505 | 03/02/2020 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Marc Arnett
Respondent Lawyers(s): Marc Freeman Arnett
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
| | |
| 18-02136 | 02/24/2020 | Claimant(s): David Valponi, Elizabeth Valponi, The Valponi Revocable Trust dtd 2/24/98, Valponi Family Irrevocable Trust FBO Ali, Valponi Family Irrevocable Trust FBO Eri
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): David Markun
Arbitrator(s): Lawrence R. Mills, Alden Sharp Adkins
Hearing Site: San Francisco, CA
|  | $699,664 |
| 19-00141 | 02/20/2020 | Claimant(s): DeAnnah L Thomas, Richard M Thomas
Claimant Lawyers(s): John Garner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeffrey s. Jacobi
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | $0 |
| 19-01119 | 02/20/2020 | Claimant(s): Michael Nalewaja
Claimant Lawyers(s): Michael Terry Nalewaja
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John Stewart
Arbitrator(s): Helen Marinak Blohm, Robert Sachs Mandelson, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | $0 |
| 19-01297 | 02/20/2020 | Claimant(s): Kristen Harnage
Claimant Lawyers(s): Etan E Rosen
Respondent(s): Jeromy Pierroz, Scott Andersen
Respondent Lawyers(s): Michael J. Margosian, Peter R. Boutin
Arbitrator(s): David I. Levine, Ronald Chun, Michael Robert Addison
Hearing Site: San Francisco, CA
| | $0 |
