| 23-01826 | 11/15/2023 | Claimant(s): Michael West
Claimant Lawyers(s): Michael West
Respondent(s): Charles Schwab & Co.., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Greg Scanlon, Randi P. Spallina
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
|  | $300 |
| 17-01244 | 06/12/2019 | Claimant(s): Sandra Calderon, Bluebird Corporation
Claimant Lawyers(s): Gregg Breitbart, Osvaldo Carlo Linares
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Randi P. Spallina, Roberto C. Quinones
Arbitrator(s): Mary E. Woytek, Allan R. Lazor, Stephen Louis Wright
Hearing Site: San Juan, PR
| | Expungement |
| 16-03237 | 02/07/2019 | Claimant(s): Jose Diaz Velarde, Sara San Martin
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Monica I. Salis, James Casimir Casey
Hearing Site: Miami, FL
| | Expungement |
| 18-01196 | 12/18/2018 | Claimant(s): Scott Hood
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Judy Louie, Randi P. Spallina
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
| | |
| 18-00464 | 11/05/2018 | Claimant(s): Thomas Prentice
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | |
| 18-00662 | 10/25/2018 | Claimant(s): Josephine White
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | |
| 18-00418 | 10/18/2018 | Claimant(s): Scott MacDonald
Claimant Lawyers(s): George C. Miller
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 18-00398 | 09/27/2018 | Claimant(s): Young Chung
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
| | |
| 17-02089 | 04/04/2018 | Claimant(s): David Mendoza
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 17-00890 | 12/05/2017 | Claimant(s): Michael Greer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): A. Joel Klein
Hearing Site: Los Angeles, CA
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