| 18-00405 | 12/04/2018 | Claimant(s): Sonny Gulati
Claimant Lawyers(s): Eric Litow
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | |
| 18-01092 | 11/20/2018 | Claimant(s): Linda Langille, Robinson Langille
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Royal Alliance Associates., Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Bradley A. Fishman, Peter J. McElligott
Arbitrator(s): Dean J. Dietrich, Clifford A. Threlkeld, Martin Joel Fassler
Hearing Site: San Francisco, CA
|  | Dismissed by Rule 12206 |
| 18-00797 | 11/19/2018 | Claimant(s): Jeff Maas
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Andrew S. Azarmi
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | |
| 18-01230 | 11/15/2018 | Claimant(s): Shane Brisbin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 17-01947 | 11/02/2018 | Claimant(s): Susan Charters
Claimant Lawyers(s): Cary S Lapidus
Respondent(s): Brian Burke, Howard Winklevoss, Winklevoss Insurance Agency
Respondent Lawyers(s): Howard K. Levine
Arbitrator(s): Donald S. Green, David I. Levine, Glenn Paul Gilbert
Hearing Site: San Francisco, CA
| | |
| 18-00662 | 10/25/2018 | Claimant(s): Josephine White
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | |
| 18-00418 | 10/18/2018 | Claimant(s): Scott MacDonald
Claimant Lawyers(s): George C. Miller
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 18-00129 | 10/17/2018 | Claimant(s): Sandra Wang
Claimant Lawyers(s): Eric Litow
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Ralph A. Cotton
Hearing Site: San Francisco, CA
| | |
| 18-00607 | 10/17/2018 | Claimant(s): Dennis Dachtler
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Ameritas Investment Corp.
Respondent Lawyers(s): David M. Williams
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 18-01468 | 10/16/2018 | Claimant(s): Virgilio Cristobal
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Andrew S. Azarmi
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
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