| 21-01307 | 11/02/2021 | Claimant(s): Stephen Biesinger
Claimant Lawyers(s): Jake L. Jacobsen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | |
| 21-00527 | 10/29/2021 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Mark Boucher
Respondent Lawyers(s): Mark Joseph Boucher
Arbitrator(s): Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | |
| 20-03015 | 10/20/2021 | Claimant(s): Paul Neves
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | |
| 20-03142 | 10/07/2021 | Claimant(s): Paul Neves
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
| | |
| 21-01456 | 09/27/2021 | Claimant(s): Jordan Ganzekaufer
Claimant Lawyers(s): Jordan Ganzekaufer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
|  | $3,213 |
| 19-03145 | 09/10/2021 | Claimant(s): Wilgus Family Survivors Trust
Claimant Lawyers(s): Jeffrey K. Wilgus
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Herbert Liberman, Katherine Jane Morris, Helen W. Kinnaird
Hearing Site: San Diego, CA
| | Dismissed by Rule 12504(b) |
| 19-02822 | 08/06/2021 | Claimant(s): Constantine Cristo
Claimant Lawyers(s): Constantine Gus Cristo
Respondent(s): Charles Schwab & Co.., Charles Schwab Bank, Charles Schwab Corporation, Charles Schwab Investment Management Inc, Schwab Holdings.
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Robert Rosen, Sally G. Williams, Thomas L. Marshall
Hearing Site: San Diego, CA
| | $0 |
| 21-01239 | 07/30/2021 | Claimant(s): Kalyn Walker, Perry Zeigler
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Erik R. Siering
Hearing Site: San Diego, CA
| | |
| 20-02985 | 07/27/2021 | Claimant(s): Bradley Cooperman
Claimant Lawyers(s): Frances Menzer
Respondent(s): Chase Investment Services Corp., J.P. Morgan Securities
Respondent Lawyers(s): Samantha D. Parrish
Arbitrator(s): Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | |
| 21-00370 | 07/27/2021 | Claimant(s): Misbah Eldereiny
Claimant Lawyers(s): Tarek Saleh
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Kirtley M. Thiesmeyer, Shawn Michael Spaulding, William (Lee) Biddle
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
