| 16-03141 | 11/20/2017 | Claimant(s): Michael Destro
Claimant Lawyers(s): Emily Knoles
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Dean J. Dietrich, Timothy P. Bogan, Jennifer Schwartz
Hearing Site: San Francisco, CA
| | |
| 07-02580 | 10/03/2017 | Claimant(s): Thomas Nauman
Claimant Lawyers(s): Thomas G. Nauman
Respondent(s): 1st Discount Brokerage.
Respondent Lawyers(s): Susan B. Yoffee
Arbitrator(s): Dean J. Dietrich, Gregory Jay Gursey, Tobin B. Swanson
Hearing Site: Salt Lake City, UT
| | |
| 17-00309 | 09/12/2017 | Claimant(s): Chad Staskall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Dean J. Dietrich
Hearing Site: Portland, OR
| | |
| 16-00852 | 03/02/2017 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): Andrew Spivey
Respondent Lawyers(s): Andrew Gary Spivey
Arbitrator(s): Dean J. Dietrich, Ralph L. Jacobson, Rahul K. Surana
Hearing Site: San Francisco, CA
| | |
| 16-00196 | 08/26/2016 | Claimant(s): Christopher Peters, E*Trade Securities LLC
Claimant Lawyers(s): Meredith F. Hoffman
Respondent(s): Mohammad Yazdi
Respondent Lawyers(s): Mohammad Yazdi
Arbitrator(s): Paul J. Dubow, Dean J. Dietrich, Kenneth Paul Strongman
Hearing Site: San Francisco, CA
| | Expungement |
| 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
| | |
| 13-01075 | 10/15/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Donald McBirney
Respondent Lawyers(s): Donald James Mcbirney
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | |
| 10-04614 | 05/06/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Shawn Mesaros
Respondent Lawyers(s): Shawn Anthony Mesaros
Arbitrator(s): Dean J. Dietrich
Hearing Site: Seattle, WA
| | |
| 12-00954 | 03/21/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Suzanne Chen, Golden State Advisors
Respondent Lawyers(s): David H. Schwartz
Arbitrator(s): Alvin L. Fishman, Dean J. Dietrich, John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 12-01670 | 11/27/2012 | Claimant(s): Kimon Peter Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Ashley Nobili UFLUTMA, Corinne Nobili UFLUTMA, Raul Nobili Trust U/A dtd 11/02/99
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Sterling N. Frost, James R. Dickson, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | Expungement |
