| 19-03635 | 05/26/2022 | Claimant(s): Richard Mazur
Claimant Lawyers(s): Denis S. Kenny
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Nancy Hutt, Dean J. Dietrich, Shawn Ridgell
Hearing Site: San Francisco, CA
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| 21-00918 | 03/22/2022 | Claimant(s): Jalaleddin Afifi
Claimant Lawyers(s): Robert Gonser
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Scott T. Nonaka
Arbitrator(s): Dean J. Dietrich, Julianne Averill, Andrew Kennon Jennings
Hearing Site: San Francisco, CA
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| 18-03894 | 05/18/2021 | Claimant(s): Stephen Guzylak
Claimant Lawyers(s): Robert J Girard
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Julie Taylor
Arbitrator(s): Robert M Stein, Dean J. Dietrich, Jeffry Canin
Hearing Site: Seattle, WA
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| 20-00635 | 01/28/2021 | Claimant(s): Colette Wigart
Claimant Lawyers(s): Colette Erica Wigart
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Dean J. Dietrich
Hearing Site: Reno, NV
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| 19-01989 | 11/24/2020 | Claimant(s): Bradley Gardner
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Daniel Catone, Redwood Investment Group.
Respondent Lawyers(s): Cary S. Lapidus
Arbitrator(s): Dean J. Dietrich, Scott Robert Shewan, Jonathan Polland
Hearing Site: San Francisco, CA
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| 20-02169 | 11/09/2020 | Claimant(s): Vonna Husby
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Ameriprise Financial Services, Raymond James Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier, Kevin M. Cuddy
Arbitrator(s): Dean J. Dietrich
Hearing Site: Anchorage, AK
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| 20-00669 | 07/24/2020 | Claimant(s): Suihock Goy
Claimant Lawyers(s): Christopher Seps
Respondent(s): Ni Advisors
Respondent Lawyers(s): Xianzhong Zhu
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
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| 16-03359 | 09/11/2019 | Claimant(s): Thomas Carney
Claimant Lawyers(s): William R. Lindsley
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Dean J. Dietrich, Mary H. Evans, Ann Elizabeth Sarli
Hearing Site: San Francisco, CA
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| 18-01436 | 06/20/2019 | Claimant(s): Shamima Aktar
Claimant Lawyers(s): Shamima Aktar
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Eric M. Steinert
Arbitrator(s): Gary A. Hooker, Dean J. Dietrich, John Burritt McArthur
Hearing Site: San Francisco, CA
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| 16-03422 | 03/08/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): David C. Roth
Respondent(s): Joseph Sweeney
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Daniel M. Yamshon, Dean J. Dietrich, Carol Ann Jensen
Hearing Site: San Francisco, CA
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