23-01792 | 10/18/2024 | Claimant(s): Willard Holgate, Willard G. Holdgate SEP IRA, Willard G. Holgate IRA Claimant Lawyers(s): Samuel Edwards Respondent(s): TD Ameritrade. Respondent Lawyers(s): Donald R. Littlefield Arbitrator(s): Elena Dilorio, Phyllis Ann Diamond, Temitope Oluyomi Popoola Hearing Site: Houston, TX
| | $106,468 |
20-03553 | 08/10/2022 | Claimant(s): Chukwuemeka Okafor Claimant Lawyers(s): Samuel Edwards Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Kuan Huang Arbitrator(s): Joyce L. Hurley, Joseph C. Watson, Aaron Nathan Shechet Hearing Site: Los Angeles, CA
| | $0 |
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 |
20-02764 | 10/14/2021 | Claimant(s): Richard Kincheloe Claimant Lawyers(s): Samuel Edwards Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Charlotte S. Wolfe Arbitrator(s): Robert J. Gregory Hearing Site: Dallas, TX
| | $50,000 |
19-03746 | 06/04/2021 | Claimant(s): Rex Wolfe Claimant Lawyers(s): Samuel Edwards Respondent(s): Carmine Berardi, Michael Leahy Respondent Lawyers(s): Carmine Berardi, Michael Leahy Arbitrator(s): Daniel D. Hill, Thomas D. Cordell, Mina Banerjee Hearing Site: Houston, TX
| | $240,176 |
19-02966 | 05/03/2021 | Claimant(s): Christopher Portante, Karen Portante Claimant Lawyers(s): Samuel Edwards Respondent(s): Money Concepts Capital Corp Respondent Lawyers(s): Kathy M. Klock Arbitrator(s): Earle J. Schwarz, James Edward Seale, Geraldine R Daniels Hearing Site: Birmingham, AL
| | Expungement |