| 22-01587 | 06/11/2024 | Claimant(s): Nicholas Takahashi
Claimant Lawyers(s): Patrick R Mahoney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Michael G. Clark, Robert B. Hansohn, Jack R. Goetz
Hearing Site: Los Angeles, CA
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| 19-00083 | 06/23/2022 | Claimant(s): Dawn Winship
Claimant Lawyers(s): Dawn Winship
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Ephraim J. Pierre
Arbitrator(s): Michael G. Clark, Kirtley M. Thiesmeyer, Audrey Lynne Myer
Hearing Site: Los Angeles, CA
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| 18-00554 | 11/15/2021 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Michael Kamras
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Michael G. Clark, Robert C. Albini, Adam Michael Porter
Hearing Site: Los Angeles, CA
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| 15-01951 | 12/12/2016 | Claimant(s): Douglas Howard
Claimant Lawyers(s): Sean N. Egan
Respondent(s): Zions Direct.
Respondent Lawyers(s): Mark L. Smith
Arbitrator(s): Marc Kalish, Michael G. Clark, Jo-Marie Lisa
Hearing Site: Salt Lake City, UT
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| 13-02770 | 12/10/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Christopher Gallo
Respondent Lawyers(s): Scott R. Shewan
Arbitrator(s): Barry A. Mainardi, Michael G. Clark, Michael John Florio
Hearing Site: Las Vegas, NV
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| 14-00306 | 12/02/2015 | Claimant(s): Robert Ritter
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Benjamin W. White
Arbitrator(s): Michael G. Clark, Dean J. Dietrich, Bruce Swartout
Hearing Site: San Francisco, CA
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| 11-00911 | 10/23/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Barbara Horvath
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Michael G. Clark, Barton J. Brewer, David W. Dresnick
Hearing Site: Los Angeles, CA
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| 12-01198 | 09/04/2012 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Samuel McCormick
Respondent Lawyers(s): Samuel Troy McCormick
Arbitrator(s): Michael G. Clark
Hearing Site: Portland, OR
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| 10-01435 | 03/09/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Donald Limacher
Respondent Lawyers(s): Randall J. Clement
Arbitrator(s): G. Thomas Fleming, Michael G. Clark, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
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| 07-02734 | 04/30/2010 | Claimant(s): Jamila Arapovic
Claimant Lawyers(s): Jamila Arapovic
Respondent(s): Wells Fargo Investments, Wells Fargo, N.A.
Respondent Lawyers(s): Dena Narbaitz
Arbitrator(s): Michael G. Clark, James P. Murphy, Cathleen M. Cobb
Hearing Site: Los Angeles, CA
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