| 18-02773 | 09/05/2019 | Claimant(s): Scott Hultsman
Claimant Lawyers(s): Amir Tadjedin
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Timothy A. Menezes
Arbitrator(s): James R. Dickson, Jonathan H. Krotinger, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 18-01253 | 09/27/2018 | Claimant(s): Timothy Sullivan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 17-02767 | 07/16/2018 | Claimant(s): Rebbecca Stay
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Seattle, WA
| | |
| 17-02490 | 03/23/2018 | Claimant(s): Aaron Graham
Claimant Lawyers(s): Owen Harnett
Respondent(s): United Planners' Financial Services Of A
Respondent Lawyers(s): Douglas C. Hall
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Salt Lake City, UT
| | |
| 16-01842 | 12/19/2017 | Claimant(s): David Bennette
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Eric M. Steinert
Arbitrator(s): Elmo E. Wedderburn, Michael Lancaster Garcia, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | |
| 16-03406 | 06/21/2017 | Claimant(s): Bryan Engebretson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): John Geelan
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Seattle, WA
| | |
| 16-03056 | 06/01/2017 | Claimant(s): Travis Hudak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., H. Beck.
Respondent Lawyers(s): Benjamin Cooper, Francesca M. Lanpher
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Salt Lake City, UT
| | |
| 16-00860 | 11/23/2016 | Claimant(s): Joshua Schneider
Claimant Lawyers(s): George S. Mahaffey
Respondent(s): Jot Khalsa, UBS Financial Services Inc.
Respondent Lawyers(s): Erin Weesner-McKinley, Jot Kaur Khalsa
Arbitrator(s): Donald N. Tolin, Paul A. Krepinski, Michael Lancaster Garcia
Hearing Site: Albuquerque, NM
| | Expungement |
| 15-02424 | 04/13/2016 | Claimant(s): Christy Gatien
Claimant Lawyers(s): Julie T. Burrow
Respondent(s): Peggy Fowler
Respondent Lawyers(s): Peggy Fowler
Arbitrator(s): Michael Lancaster Garcia, Frederick B. Mueller, Kenneth James Pedersen
Hearing Site: Seattle, WA
| | Expungement |
| 12-01549 | 11/08/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Charles S. Hoyt, IRA, SEP-IRA, Charles S. Hoyt & Nancy S. Hoyt
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Laurel Littman Gothelf, Jerold R. Babin, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | Expungement |
