| 21-01848 | 04/08/2022 | Claimant(s): Michael Escobar
Claimant Lawyers(s): James P. Galvin
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Trenten P. Bausch
Arbitrator(s): Kurt L. Smith, Robert J. Gregory, Jay M. Vogelson
Hearing Site: Dallas, TX
| | |
| 21-02334 | 04/08/2022 | Claimant(s): Vu Nguyen
Claimant Lawyers(s): Zachary Morse
Respondent(s): Ameriprise Financial Services., Wells Fargo Investments, Countrywide Investment Services., Unionbanc Investment Services
Respondent Lawyers(s): Howard M. Klausmeier, Laura A. Pizzitola, Neal S. Robb, Valerie Holder
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
| | |
| 21-02478 | 04/08/2022 | Claimant(s): Ranjit Bahadur
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | |
| 17-02703 | 04/08/2022 | Claimant(s): Richard Zane, Zane Family Trust U/A DTD 10/24/1997
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Anthony Duckworth, Glen Haddock
Respondent Lawyers(s): Gerard J. Kowalski
Arbitrator(s): Kip C Lubcke, Kenneth J. Horowitz, Stephen L. Lister
Hearing Site: Jersey City, NJ
|  | Expungement |
| 20-00861 | 04/08/2022 | Claimant(s): George Lyles
Claimant Lawyers(s): George W. Lyles
Respondent(s): Jacob Mohr, Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Peter Pound, Thomas M. McHugh
Arbitrator(s): Robert Rosen, David L. Moran, Adam Michael Porter
Hearing Site: Las Vegas, NV
| | Expungement |
| 21-01453 | 04/08/2022 | Claimant(s): Ronnie and Dawn Doster Revocable Trust
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Brett Whitten, UBS Financial Services Inc.
Respondent Lawyers(s): Anastasia B. Wohar
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
| | $0 |
| 19-02782 | 04/07/2022 | Claimant(s): Dong Fang, Jingxue Zhang, Qixu Wang, Xingxian Li
Claimant Lawyers(s): Robert Rosen
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Helen Marinak Blohm, Katherine Hendricks, Jonathan H. Krotinger
Hearing Site: Seattle, WA
| | $0 |
| 21-02300 | 04/06/2022 | Claimant(s): Ryan Loynd
Claimant Lawyers(s): Alan Baskin
Respondent(s): Coastal Equities.
Respondent Lawyers(s): Francis J. Skinner
Arbitrator(s): Daniel Baruch Lidawer, Jay Lawrence Witkin, Renee Bryna Gerstman
Hearing Site: Phoenix, AZ
| | |
| 19-01455 | 04/06/2022 | Claimant(s): James Novak
Claimant Lawyers(s): Terry J. Kirwan
Respondent(s): Charles Schwab & Co.., Herbert Reilly, HFR Investment Advisory Services
Respondent Lawyers(s): David G. Burch, Kevin H. Lewis
Arbitrator(s): Patrick M. Markey, Denise L. Presley, Kenneth Dymond
Hearing Site: Syracuse, NY
| | $0 |
| 21-02117 | 04/05/2022 | Claimant(s): Phillip Rademacher
Claimant Lawyers(s): Linda Broocks
Respondent(s): Charles Kuszmaul, Diane Bythell
Respondent Lawyers(s): John R. Phillips
Arbitrator(s): Lawrence R. Maxwell, Brandon Gordon Kinney, Veronica Sellers
Hearing Site: Kansas City, MO
| | Expungement |
