| 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
| | |
| 18-03524 | 07/30/2021 | Claimant(s): Sergio Praslin
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Investments
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Erik R. Siering, Eric Gad Forster, Steven H. Gentry
Hearing Site: Los Angeles, CA
|  | Expungement |
| 20-02851 | 07/30/2021 | Claimant(s): Maria Waters, Marlon Waters
Claimant Lawyers(s): Maria R. Waters, Marlon K. Waters
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Brian James Tagtmeier, Richard Wayne Rigdon, Kendra Johnson
Hearing Site: Dallas, TX
| | $0 |
| 21-00298 | 07/30/2021 | Claimant(s): Sandra Greenberg
Claimant Lawyers(s): Peter M. Spett
Respondent(s): William Friedman
Respondent Lawyers(s): William Sideny Friedman
Arbitrator(s): Richard Carl Smukler
Hearing Site: Boca Raton, FL
| | $250,300 |
| 19-03751 | 07/29/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Harold Harrison
Respondent Lawyers(s): Harold Walter Harrison
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | |
| 20-03057 | 07/29/2021 | Claimant(s): Justin Bachman
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Brokerbank Securities.
Respondent Lawyers(s): Philip Wright
Arbitrator(s): Ralph A. Cotton
Hearing Site: San Francisco, CA
| | |
| 21-00250 | 07/28/2021 | Claimant(s): Peggy Lao
Claimant Lawyers(s): Peggy Pek-Van Lao
Respondent(s): UVEST Financial Services Group.
Respondent Lawyers(s): Sara Davis
Arbitrator(s): Michael Lancaster Garcia, Chicora Martin, Andrew Kennon Jennings
Hearing Site: San Francisco, CA
| | |
| 21-00569 | 07/28/2021 | Claimant(s): John K and Mary L Campbell Family Trust
Claimant Lawyers(s): John K. Campbell
Respondent(s): Michael Masterson
Respondent Lawyers(s): Geoff S. Beckham
Arbitrator(s): Paul E. Dahlman
Hearing Site: Las Vegas, NV
| | $0 |
| 20-00111 | 07/27/2021 | Claimant(s): Zbigniew Wojewnik
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Allstate Financial Services
Respondent Lawyers(s): Samantha Tesser Haimo
Arbitrator(s): Ray J. Grzebielski, Michael F. Jordan, Michael S. Gregory
Hearing Site: Chicago, IL
| | |
| 20-01701 | 07/27/2021 | Claimant(s): Joon Rhee
Claimant Lawyers(s): Craig Riha
Respondent(s): Continental Broker-Dealer Corp.
Respondent Lawyers(s): Michael Clements
Arbitrator(s): Thomas M. Madden
Hearing Site: New York, NY
| | |
