| 21-02773 | 08/26/2022 | Claimant(s): Roberto Blanco
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC, Investors Capital Corp.
Respondent Lawyers(s): Christopher J. Murdoch, David Feldstein
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Albuquerque, NM
| | |
| 20-04098 | 01/13/2022 | Claimant(s): William Struwe
Claimant Lawyers(s): Scott I. Batterman
Respondent(s): Carmine Berardi
Respondent Lawyers(s): Carmine Anthony Berardi
Arbitrator(s): John J. Fitzpatrick, Michael Lancaster Garcia, Reed Way Dasenbrock
Hearing Site: Honolulu, HI
|  | $281,500 |
| 21-00250 | 07/28/2021 | Claimant(s): Peggy Lao
Claimant Lawyers(s): Peggy Pek-Van Lao
Respondent(s): UVEST Financial Services Group.
Respondent Lawyers(s): Sara Davis
Arbitrator(s): Michael Lancaster Garcia, Chicora Martin, Andrew Kennon Jennings
Hearing Site: San Francisco, CA
| | |
| 20-02916 | 07/12/2021 | Claimant(s): Thomas Sharp
Claimant Lawyers(s): Zachary Morse
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 20-02788 | 06/23/2021 | Claimant(s): Jennifer Johnston
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 20-03061 | 06/07/2021 | Claimant(s): Joanna Moran
Claimant Lawyers(s): Christina Z. Vourakis
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Reno, NV
| | |
| 20-03024 | 04/06/2021 | Claimant(s): John Orito
Claimant Lawyers(s): Erika Binnix
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 20-02861 | 03/04/2021 | Claimant(s): Brian Peardon
Claimant Lawyers(s): Kurt Zimmerman
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Andrew S. Azarmi
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 17-01168 | 12/29/2020 | Claimant(s): Michael Bowe
Claimant Lawyers(s): Michael E. Bowe
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Barbara M. Anscher, Michael Lancaster Garcia, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
| | $16,000 |
| 20-01589 | 12/11/2020 | Claimant(s): Lorena Moudi
Claimant Lawyers(s): Robert L Gonser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
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