| 21-02776 | 06/22/2022 | Claimant(s): Ting O'Connor
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 19-01619 | 05/26/2022 | Claimant(s): Daniella Rand
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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| 21-01395 | 04/26/2022 | Claimant(s): Harmon Kong
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fidelity Investments Institutional Srvcs
Respondent Lawyers(s): Thomas M. McHugh
Arbitrator(s): Kenneth E. Owen
Hearing Site: Los Angeles, CA
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| 21-02200 | 04/14/2022 | Claimant(s): Keys Tinney
Claimant Lawyers(s): Harris Freedman
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
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| 21-01841 | 03/25/2022 | Claimant(s): Jason Stephens
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Barry David Thorpe
Hearing Site: Boca Raton, FL
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| 21-00180 | 03/22/2022 | Claimant(s): Clayton Shum
Claimant Lawyers(s): Harris Freedman
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
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| 21-01092 | 03/09/2022 | Claimant(s): Randall Krenzin
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services, Banc of America Investment Services Inc.
Respondent Lawyers(s): Geoffrey S. Beckham, Laura A. Pizzitola
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 21-01094 | 03/08/2022 | Claimant(s): Randall Krenzin
Claimant Lawyers(s): Harris Freedman
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
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| 21-01097 | 01/31/2022 | Claimant(s): Kurt Van Dyken, Ronald Bullis
Claimant Lawyers(s): Harris Freedman
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
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| 21-00779 | 12/23/2021 | Claimant(s): Jim Mui
Claimant Lawyers(s): Harris Freedman
Respondent(s): Prudential Equity Group, Raymond James Financial Services., Raymond, James & Associates., UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer E. Novoselsky, John Murphy, Robert M. Rudnicki
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
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