| 21-01912 | 03/28/2022 | Claimant(s): Julie Johnson
Claimant Lawyers(s): James P. Galvin
Respondent(s): UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, John Murphy
Arbitrator(s): Philip J. Glick, Michael Jeffrey Norton, Gregory M. Scanlon
Hearing Site: Denver, CO
| | |
| 17-02678 | 05/14/2018 | Claimant(s): Brian Evans
Claimant Lawyers(s): Brian Keith Evans
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Helen Marinak Blohm, William W. Haskell, Gregory M. Scanlon
Hearing Site: Honolulu, HI
|  | Dismissed by Rule 12206 |
| 09-06251 | 02/03/2011 | Claimant(s): Albert Chen
Claimant Lawyers(s): John Balestriere
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Daniel E. Shaw
Arbitrator(s): Edwin C. Shiver, Gregory M. Scanlon, M. Scott Donahey
Hearing Site: San Francisco, CA
| | |
| 07-01893 | 09/02/2008 | Claimant(s): HGL Consulting/Research LTD, H. George and Angelika M. Lundburg Jt, Lola D. Thomas Trust
Claimant Lawyers(s): Carl H. Osaki
Respondent(s): Charles Sebrell, Dwayne Mukai, Morgan Stanley & Co., Paul Saferstein, Richard Mosko, Robert Tung, Susan Lane
Respondent Lawyers(s): David R. Maurer
Arbitrator(s): Robin Lynn Berry, James K. Hoenig, Gregory M. Scanlon
Hearing Site: Honolulu, HI
| | $0 |
