| 23-01249 | 07/15/2024 | Claimant(s): Eric Silvestre
Claimant Lawyers(s): Harris Freedman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 23-02267 | 06/17/2024 | Claimant(s): Henry Krich
Claimant Lawyers(s): Craig Stein
Respondent(s): J.P. Morgan Securities LLC
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Joseph Benalt, Nanci Sondra Landy, George H Tucker
Hearing Site: Boca Raton, FL
| | |
| 23-01365 | 01/18/2024 | Claimant(s): Michelle Anthony
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Chase Investment Services Corp., Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young, Neal S. Robb
Arbitrator(s): Erik R. Siering
Hearing Site: Phoenix, AZ
| | |
| 21-02393 | 11/07/2022 | Claimant(s): Jerry Mathew
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Patricia M. Bottoms, Ronald G. Guida, Gregory G. Gocek
Hearing Site: Denver, CO
| | |
| 21-01701 | 06/27/2022 | Claimant(s): Chiaki Kumazawa
Claimant Lawyers(s): Samuel Edwards
Respondent(s): Bancwest Investment Services.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Robert M Stein, Daniel M. Yamshon, Paul E. Dahlman
Hearing Site: Anchorage, AK
|  | Dismissed by Rule 12206 |
| 21-02334 | 04/08/2022 | Claimant(s): Vu Nguyen
Claimant Lawyers(s): Zachary Morse
Respondent(s): Ameriprise Financial Services., Wells Fargo Investments, Countrywide Investment Services., Unionbanc Investment Services
Respondent Lawyers(s): Howard M. Klausmeier, Laura A. Pizzitola, Neal S. Robb, Valerie Holder
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
| | |
| 21-01440 | 03/23/2022 | Claimant(s): Justin Hoyt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Chase Investment Services Corp., Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Neal S. Robb
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Phoenix, AZ
| | |
| 21-01308 | 02/10/2022 | Claimant(s): Shannon Freeland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equitable Advisors, J.P. Morgan Securities
Respondent Lawyers(s): Michael J. Biondi, Neal S. Robb
Arbitrator(s): David William Hickman
Hearing Site: Seattle, WA
| | |
| 21-01278 | 12/21/2021 | Claimant(s): Hajime Amaya
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Herbert Liberman, Herb Schwartz, Peter H. Daly
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 20-02116 | 12/17/2021 | Claimant(s): The Evan Cole Revocable Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): First Republic Investment Management Inc, First Republic Securities Company
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Ronald L. Cameron, Richard M. Norman, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | Expungement |
