| 23-02316 | 01/22/2024 | Claimant(s): Harvey Frey
Claimant Lawyers(s): Harvey S. Frey
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Edward A. Trabin
Hearing Site: Los Angeles, CA
|  | $163 |
| 23-01215 | 01/22/2024 | Claimant(s): Brent Turner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): QA3 Financial Corp., Transamerica Financial Advisors
Respondent Lawyers(s): Stephen K. Wild, Susan D. Duff
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
| | |
| 23-01400 | 01/22/2024 | Claimant(s): Roberto Vila
Claimant Lawyers(s): William Bean
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
| | |
| 21-01042 | 01/19/2024 | Claimant(s): Andrea Bollakis, Richard Molsby
Claimant Lawyers(s): Cameron D. Bordner
Respondent(s): Wells Fargo Clearing Services, Megan Phillips, Michael Garner, Theodore Rich, Thomas Metzger
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Carol Ann Jensen, Arocles Aguilar, Kevin C. Coleman
Hearing Site: Reno, NV
| | $0 |
| 23-02322 | 01/19/2024 | Claimant(s): Elisheva Defeo
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Leslie Blickenstaff
Arbitrator(s): John Thomas Shaban, Edward S. Hill, Peter M Cosel
Hearing Site: Hartford, CT
| | |
| 23-01913 | 01/19/2024 | Claimant(s): Michael Dieschbourg
Claimant Lawyers(s): James P. Galvin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
| | |
| 23-01476 | 01/19/2024 | Claimant(s): Ivan Cen
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 20-01177 | 01/19/2024 | Claimant(s): Cecilia De Oliveira
Claimant Lawyers(s): David Miller
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-02375 | 01/19/2024 | Claimant(s): Lana Baselt, Estate of Randall Baselt
Claimant Lawyers(s): Jared Peterson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Scott E. Rahn
Arbitrator(s): Joseph Howard Cooper, Erik R. Siering, Olivia J. Valentine
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212© and 12511(b) |
| 23-01271 | 01/19/2024 | Claimant(s): Gail Jensen, Martin McNees
Claimant Lawyers(s): Bradley Ziegler
Respondent(s): Madison Avenue Securities
Respondent Lawyers(s): John C. Gray
Arbitrator(s): Mark R. Lee, Ronald N. Roth, Vytas Tarulis
Hearing Site: San Diego, CA
| | |
