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
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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
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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
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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
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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
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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
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