| 17-00085 | 09/18/2017 | Claimant(s): Xi Chen
Claimant Lawyers(s): Xi Chen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Ian Ross
Arbitrator(s): William C. Pack, Jeffrey M. Allen, Arocles Aguilar
Hearing Site: San Francisco, CA
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| 15-02314 | 07/28/2017 | Claimant(s): Taylor Reed
Claimant Lawyers(s): Donald C. Potter
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Matthew Klafter
Arbitrator(s): Herb Schwartz, Ralph A. Cotton, Arocles Aguilar
Hearing Site: San Francisco, CA
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| 15-01539 | 12/21/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Kristin Tuchman
Respondent Lawyers(s): Kristin A. Tuchman
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 13-00865 | 06/23/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Benjamin W. White
Respondent(s): Daniel Cairns
Respondent Lawyers(s): Montgomery G. Griffin
Arbitrator(s): Homer L. Davis, Val D. Hornstein, Arocles Aguilar
Hearing Site: San Francisco, CA
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| 13-01502 | 10/10/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Bradley Gardner, Daniel Catone, Michael Gibson
Respondent Lawyers(s): Alan M. Steinberg, Cary S. Lapidus
Arbitrator(s): Paul J. Dubow, Thomas D. Reese, Arocles Aguilar
Hearing Site: San Francisco, CA
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| 12-02243 | 06/11/2013 | Claimant(s): Garrett Grove
Claimant Lawyers(s): John D. Grove
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 12-02476 | 03/20/2013 | Claimant(s): Gregory Lorenz
Claimant Lawyers(s): Gregory M. Lorenz
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | Expungement |
| 11-01483 | 07/20/2012 | Claimant(s): Kurt Pham
Claimant Lawyers(s): Kurt Huy Pham
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Mary Curran, Lester Friedman, Arocles Aguilar
Hearing Site: San Francisco, CA
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| 10-01727 | 04/04/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Kim Nordmo
Respondent Lawyers(s): Mark J. Astarita
Arbitrator(s): Ferdinand Schoch, Arocles Aguilar, Peter Anthony Sigal
Hearing Site: San Francisco, CA
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