| 19-01596 | 01/10/2020 | Claimant(s): Laura Nasatir, Laura M. Nasatir Roth IRA, Laura M. Nasatir SEP IRA, Laura M. Nasatir 401K, Laura M. Nasatir Defined Benefit Plan, Laura M. Nasatir Trust
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
|  | $0 |
| 18-00253 | 08/29/2019 | Claimant(s): Sandra Althaus, Sandra Althaus IRA, Sandra Althaus Roth IRA, Sandra Althaus SEP IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Daniel M. Yamshon, David I. Levine, Michael Lancaster Garcia
Hearing Site: Reno, NV
| | $721,117 |
| 18-03914 | 08/23/2019 | Claimant(s): Clayton Holcomb
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
| | |
| 17-03097 | 11/16/2018 | Claimant(s): Darrell Avery
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Bankoh Investment Services.
Respondent Lawyers(s): Joachim Cox
Arbitrator(s): Richard B. Bullock, William W. Haskell, David I. Levine
Hearing Site: Honolulu, HI
| | |
| 17-01947 | 11/02/2018 | Claimant(s): Susan Charters
Claimant Lawyers(s): Cary S Lapidus
Respondent(s): Brian Burke, Howard Winklevoss, Winklevoss Insurance Agency
Respondent Lawyers(s): Howard K. Levine
Arbitrator(s): Donald S. Green, David I. Levine, Glenn Paul Gilbert
Hearing Site: San Francisco, CA
| | |
| 18-00489 | 07/12/2018 | Claimant(s): StartEngine Capital LLC
Claimant Lawyers(s): Mary Knight
Respondent(s): Andrew Dewey
Respondent Lawyers(s): Andrew Dewey
Arbitrator(s): David I. Levine
Hearing Site: Reno, NV
| | $0 |
| 13-00258 | 02/19/2014 | Claimant(s): Dolores Smallen, Martin Smallen, The Smallen Family Trust U/A dated 5/31/
Claimant Lawyers(s): Christopher Gray
Respondent(s): Shawn Davis, Berthel, Fisher & Company Financial Svcs
Respondent Lawyers(s): Louis H. Castoria
Arbitrator(s): Jane Bradley, Jonathan Holman Hathaway, David I. Levine
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 10-05593 | 10/14/2011 | Claimant(s): Cornelius Choy
Claimant Lawyers(s): Mark Alan Goodman
Respondent(s): Wallstreet*e Financial Services.
Respondent Lawyers(s): Carlos F. Otalvaro
Arbitrator(s): Joseph H. Sturdivant, David I. Levine, William Michael Samsel
Hearing Site: San Francisco, CA
| | |
| 07-03606 | 11/19/2008 | Claimant(s): Reynolds Ospina
Claimant Lawyers(s): Thomas E. Duckworth
Respondent(s): Instinet
Respondent Lawyers(s): Robert S. Shwarts
Arbitrator(s): Katherine M. Van Hagan, Joseph A. Lasky, David I. Levine
Hearing Site: San Francisco, CA
| | |
