| 21-00819 | 05/12/2023 | Claimant(s): Rotem Perelmuter
Claimant Lawyers(s): Geoffrey T. Macbride
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Jeffrey M. Allen, Dorian Antoine Peters, Nancy Lynne Williamson
Hearing Site: San Francisco, CA
|  | $3,976,050 |
| 22-00467 | 04/10/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): William Montgomery
Respondent(s): Bruce Davis
Respondent Lawyers(s): Bruce Lavar Davis
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 22-02163 | 04/10/2023 | Claimant(s): Bradley Towers
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | |
| 22-01186 | 03/23/2023 | Claimant(s): Anthony Karazeris
Claimant Lawyers(s): Anthony Karazeris
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Mark G. Materna
Arbitrator(s): Lawrence R. Mills
Hearing Site: San Francisco, CA
| | $0 |
| 18-03175 | 03/23/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): G. Thomas Fleming
Respondent(s): Robert Dressler, Yuen Lin Chan
Respondent Lawyers(s): G. Thomas Fleming, Neil L. Henrichsen
Arbitrator(s): Daniel M. Yamshon, Clifford A. Threlkeld, Elizabeth Dye Battaglia
Hearing Site: San Francisco, CA
| | |
| 22-01625 | 03/15/2023 | Claimant(s): Lawrence Ford
Claimant Lawyers(s): La Verne C. Simmons
Respondent(s): Pershing LLC, Principal Securities., Principal Financial Group
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): William W. Haskell, David I. Levine, Michael D. Briggs
Hearing Site: San Francisco, CA
| | $0 |
| 22-01705 | 03/14/2023 | Claimant(s): Zenaida P. Gantan
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Joel Blumenschein
Respondent Lawyers(s): Joel Reid Blumenschein
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | $12,589 |
| 22-00122 | 03/09/2023 | Claimant(s): Paul E. Vaz Trucking.
Claimant Lawyers(s): John D. Pernick
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Lawrence R. Mills, Sarah Jane Militello, Bruce J Highman
Hearing Site: San Francisco, CA
| | Expungement |
| 22-00665 | 03/02/2023 | Claimant(s): Timothy Cunningham
Claimant Lawyers(s): Timothy J. Cunningham
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Mary Mackey, Louis Anthony Napoli, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | $0 |
| 20-01539 | 02/17/2023 | Claimant(s): Shannon Marquardt
Claimant Lawyers(s): Robert D. Loventhal
Respondent(s): First Republic Securities Company
Respondent Lawyers(s): Teresa Thong
Arbitrator(s): Lester Friedman, John J. Fitzpatrick, David I. Levine
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12212 and 12511 |
