| 21-01805 | 03/21/2022 | Claimant(s): George Gammill
Claimant Lawyers(s): Kenneth H. Looney
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Amanda Saykes
Arbitrator(s): Frances Johnson Wright
Hearing Site: Birmingham, AL
|  | $9,975 |
| 20-03047 | 03/18/2022 | Claimant(s): Robert Krieger
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A Pizzitola
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 21-01540 | 03/18/2022 | Claimant(s): Jose Mendez Perez
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
| | |
| 21-01586 | 03/18/2022 | Claimant(s): Binnie Phung
Claimant Lawyers(s): Zachary S. Morse
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Shelley R. Davenport
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 21-01996 | 03/17/2022 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Maria Esparza
Respondent Lawyers(s): Maria Esparza
Arbitrator(s): Sheila Grinell, Roger A. Geddes, Glenn Allen Baker
Hearing Site: Phoenix, AZ
| | $0 |
| 21-00101 | 03/17/2022 | Claimant(s): William Valle
Claimant Lawyers(s): William Isaac Valle
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Ellen J. Abrams, Richard S. Herman, Krista Fanning Kersey
Hearing Site: Boca Raton, FL
| | |
| 21-01283 | 03/17/2022 | Claimant(s): Anthony Riscili
Claimant Lawyers(s): James P. Galvin
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Susanne J. Hollander, Michael R. Sherwin, Alfonso Cobb
Hearing Site: Chicago, IL
| | |
| 21-01898 | 03/17/2022 | Claimant(s): William Crull
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons., FSC Securities Corporation, UBS Financial Services Inc.
Respondent Lawyers(s): Andrew R. Park, Gregory Curley, John Murphy
Arbitrator(s): Brian James Tagtmeier
Hearing Site: New Orleans, LA
| | |
| 20-00065 | 03/17/2022 | Claimant(s): Alice Warsinske, Christopher Morris, Daryl Morris, Peter Warsinske, Sidney Warsinke, Nancy Ketchum Warsinske Trust
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): Gregory Berlacher, Emerging Growth Equities, Ltd.
Respondent Lawyers(s): Joseph Dever
Arbitrator(s): Thomas Benjamin Salzer, David F. Griesing, Peter George Erdely
Hearing Site: Philadelphia, PA
| | $0 |
| 21-01131 | 03/17/2022 | Claimant(s): Maria Muessen
Claimant Lawyers(s): Kyle Kulzer
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Washington, DC
| | $0 |
