| 18-00641 | 10/03/2018 | Claimant(s): Emmanuel Obel
Claimant Lawyers(s): Emmanuel Obel
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Alexander
Arbitrator(s): Helen Marinak Blohm, Gary S. DeWeese, Erik John Renga
Hearing Site: San Francisco, CA
|  | Expungement |
| 18-00642 | 10/02/2018 | Claimant(s): Emmanuel Obel
Claimant Lawyers(s): Emmanuel Obel
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Bradley Fishman
Arbitrator(s): Reed H. Bement, Jonathan H. Krotinger, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | Expungement |
| 18-01253 | 09/27/2018 | Claimant(s): Timothy Sullivan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 18-01958 | 09/19/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Michael Nunez
Respondent Lawyers(s): Michael Ramon Nunez
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | |
| 18-01115 | 09/17/2018 | Claimant(s): William Keyser
Claimant Lawyers(s): William Grant Keyser
Respondent(s): Fidelity Brokerage Services LLC, Timothy Averett
Respondent Lawyers(s): Ellen Bates
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | $0 |
| 17-01530 | 08/21/2018 | Claimant(s): Mel Trust
Claimant Lawyers(s): Stan Schuldiner
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Kathryn J. Toronto, William Michael Samsel, Kevin C. Coleman
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504 |
| 17-02406 | 08/07/2018 | Claimant(s): Alan Verkman
Claimant Lawyers(s): Alan S. Verkman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Kevin C. Coleman
Hearing Site: San Francisco, CA
| | $3,485 |
| 16-03686 | 07/31/2018 | Claimant(s): Claire Scalzo, Louis Scalzo, Louis Scalzo Family Marital DED Trust, Scalzo Family Bypass Trust, Scalzo Survivors Trust
Claimant Lawyers(s): Jeffrey Pederson, Richard A. Nervig
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): David H. S. Commins, George King, Val D. Hornstein
Hearing Site: San Francisco, CA
| | Expungement |
| 17-02469 | 07/30/2018 | Claimant(s): Erik Weir
Claimant Lawyers(s): Armin Sarabi
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Ralph A. Cotton
Hearing Site: San Francisco, CA
| | |
| 17-00043 | 07/16/2018 | Claimant(s): Mary Millman
Claimant Lawyers(s): Val D. Hornstein
Respondent(s): Ankit Sahu, UBS Financial Services Inc.
Respondent Lawyers(s): Philip A. McLeod, Robert J. Girard
Arbitrator(s): Robert M. Smith, Kevin C. Coleman, Glenn Paul Gilbert
Hearing Site: San Francisco, CA
| | $0 |
