| 22-00049 | 10/07/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Gary Cattich
Respondent Lawyers(s): Mark C. Thomas
Arbitrator(s): Arocles Aguilar, Eduardo Barocio, Christian Arthur Zrull
Hearing Site: San Francisco, CA
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| 23-01225 | 01/25/2024 | Claimant(s): Todd Gomes
Claimant Lawyers(s): Kathleen Patchel
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 23-01889 | 12/15/2023 | Claimant(s): Kristopher Watts, Sherri Omdahl
Claimant Lawyers(s): Peter R. Boutin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Elisabeth Kratka
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 23-00794 | 10/31/2023 | Claimant(s): Justin Bailey
Claimant Lawyers(s): Robert Hill
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 22-01156 | 06/26/2023 | Claimant(s): Kevin Ho
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 22-01839 | 05/09/2023 | Claimant(s): Ronald Kuhn
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): David Smitham
Arbitrator(s): Peter H. Daly, Arocles Aguilar, Bruce Swartout
Hearing Site: Honolulu, HI
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| 21-02776 | 06/22/2022 | Claimant(s): Ting O'Connor
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 21-01784 | 03/09/2022 | Claimant(s): Scott Yee
Claimant Lawyers(s): Zachary Morse
Respondent(s): Securities America.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 21-01195 | 12/17/2021 | Claimant(s): Joseph Frank
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 20-03645 | 11/02/2021 | Claimant(s): Javier Ovalles
Claimant Lawyers(s): Javier Ovalles
Respondent(s): Transamerica Investors Securities Corp.
Respondent Lawyers(s): Misty A. Murray
Arbitrator(s): William W. Haskell, Arocles Aguilar, Douglas J. Pavese
Hearing Site: San Francisco, CA
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