| 21-01124 | 12/30/2021 | Claimant(s): Dao Phan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): WMA Securities.
Respondent Lawyers(s): Clive Slovin
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
| | |
| 19-00603 | 12/30/2021 | Claimant(s): Philip Sims, Philip D. Sims IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): McNally Financial Services Corporation
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Thomas A. Martin, Jack Chapline Vaughan, Camille Morris Tankersley
Hearing Site: Houston, TX
|  | Expungement |
| 19-02728 | 12/30/2021 | Claimant(s): David Farrell, Holly Farrell
Claimant Lawyers(s): Samuel Bonderoff
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa Gworek
Arbitrator(s): Andrea U. Calve, Karen Roberts Washington, Don G Miller
Hearing Site: Dallas, TX
| | $0 |
| 21-01041 | 12/29/2021 | Claimant(s): Brian O'Neil
Claimant Lawyers(s): Jeffrey R. Thomas
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Richard M. Reider, Steven Meyrich, Mari C. Bush
Hearing Site: Denver, CO
| | |
| 21-00074 | 12/29/2021 | Claimant(s): Xiujuan Zhu Roth IRA, Zhiming Lu Roth IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Greg Curley
Arbitrator(s): Adam Michael Porter
Hearing Site: Denver, CO
| | $30,225 |
| 20-02919 | 12/28/2021 | Claimant(s): Everest Wong
Claimant Lawyers(s): Chelsea Masters
Respondent(s): WAMU Investments.
Respondent Lawyers(s): James H. Davis
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | |
| 21-01403 | 12/28/2021 | Claimant(s): Nicholas Yrizarry
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Securities Service Network.
Respondent Lawyers(s): Records Custodian
Arbitrator(s): Erik R. Siering, Barton J. Brewer, Lawrence Craig Williams
Hearing Site: Los Angeles, CA
| | |
| 21-02619 | 12/28/2021 | Claimant(s): James Candella
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
| | |
| 18-01055 | 12/28/2021 | Claimant(s): Bennie Carmain, Gary Bridgers, John Daniels, John Eversgerd, Lawrence Clarke, Richard Myers, Russell Cascardo, Viktor Prozapas, AGS Underground, Tayskasi Oy, Ettinger Family Trust
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Kevin Harms, Yousuf Saljooki
Respondent Lawyers(s): Kevin Charles Harms, Yousuf Saljooki
Arbitrator(s): Joseph J. Arata, Rory M. McLaughlin, Jerome M Shafer
Hearing Site: New York, NY
| | $792,117 |
| 20-02555 | 12/28/2021 | Claimant(s): Cheryl E. Amyx Living Trust U/A 11/7/05
Claimant Lawyers(s): W. Scott Greco
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): Sheila D. Collins, Matthew Stephen Duchesne, Francis Henry Dong
Hearing Site: Washington, DC
| | $299,899 |
