| 18-04020 | 03/08/2021 | Claimant(s): Richard Trust
Claimant Lawyers(s): Richard Trust
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Herb Schwartz, Daniel M. Yamshon, Rosalind Ramsey Tyson
Hearing Site: San Francisco, CA
|  | $298,400 |
| 19-03790 | 03/08/2021 | Claimant(s): Alan Wayne Friesen Revocable Trust, Jacob Gordon Jackson Revocable Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Charles G. Michaels, Henry R Cox, Leonard M. Goldstein
Hearing Site: Denver, CO
| | $1,044,840 |
| 20-02897 | 03/08/2021 | Claimant(s): Mohammed Sami
Claimant Lawyers(s): Mohammed Sami
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $0 |
| 20-03832 | 03/08/2021 | Claimant(s): Jeffrey Sadur
Claimant Lawyers(s): Jeffrey R. Sadur
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $0 |
| 18-00556 | 03/05/2021 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Edward Swigert
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Sheldon M. Jaffe, Kendall C. Reed, Frank Cronin
Hearing Site: Los Angeles, CA
| | $0 |
| 19-02368 | 03/05/2021 | Claimant(s): Daniel Dillard
Claimant Lawyers(s): Bogdan Rentea
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Carlton A. Butler, Michael S. Yauch, Mark Ritchie
Hearing Site: Houston, TX
| | $0 |
| 19-03389 | 03/05/2021 | Claimant(s): Allied Millennial Partners LLC
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): John Raho
Respondent Lawyers(s): Stuart N. Kaplan
Arbitrator(s): Howard Alan Grinsberg
Hearing Site: New York, NY
| | $0 |
| 20-01278 | 03/05/2021 | Claimant(s): Nora Castro
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Erik R. Siering
Hearing Site: Las Vegas, NV
| | $0 |
| 20-01975 | 03/05/2021 | Claimant(s): Russell Abbott
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | $0 |
| 20-02040 | 03/05/2021 | Claimant(s): Daryl Hersch, Jeffrey Gordon
Claimant Lawyers(s): Ronald Shindler
Respondent(s): Celadon Financial Group LLC
Respondent Lawyers(s): Paul M. Waldman
Arbitrator(s): Louis H Miron
Hearing Site: Jersey City, NJ
| | $0 |
