| 23-03433 | 03/19/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Teresa J. Thong
Respondent(s): Sona Rikhye
Respondent Lawyers(s): Sona Rikhye
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
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| 20-00738 | 07/06/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Riza Hernandez
Respondent Lawyers(s): Riza Khalil Hernandez
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
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| 18-03004 | 04/08/2019 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Shannon M. Wheaton
Respondent(s): Adam Govani
Respondent Lawyers(s): Adam Bashir Govani
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
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| 18-02270 | 01/23/2019 | Claimant(s): Leila Gough
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoffrey Beckham
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
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| 18-02196 | 01/09/2019 | Claimant(s): Kevin Moran
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
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| 18-00662 | 10/25/2018 | Claimant(s): Josephine White
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
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| 14-03316 | 08/08/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Bryan H. Heckenlively
Respondent(s): Harvey Klyce
Respondent Lawyers(s): Michael A. Valenti
Arbitrator(s): Herb Schwartz, Timothy P. Bogan, Shawn Ridgell
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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| 14-02768 | 10/05/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Besart Morina
Respondent Lawyers(s): Jay T. Jambeck
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
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| 13-03716 | 06/16/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Andrew Spivey
Respondent Lawyers(s): Andrew G. Spivey
Arbitrator(s): Herb Schwartz, Gary A. Hooker, Susan J. Alexander
Hearing Site: San Francisco, CA
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