| 20-00892 | 12/14/2022 | Claimant(s): Travis Allen
Claimant Lawyers(s): Sarah Ali Burroughs
Respondent(s): Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
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| 16-02681 | 06/08/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): James Duncombe
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): A. Joel Klein, Rosa Linda Guadarrama, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
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| 14-00249 | 03/04/2016 | Claimant(s): McDermott Investment Services
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Marilee Hill, Concorde Investment Services, The Estate of Chester Ju, The Estate of Shirley Jean Ju
Respondent Lawyers(s): Derek Domian, Gerry J. Kowalski, H. Thomas Fehn, Richard J. Rosensweig
Arbitrator(s): Anne Q. Uno, Jane A. Smith, Oliver P. Roche
Hearing Site: Washington, DC
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| 14-00832 | 02/27/2015 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric R. Raphan
Respondent(s): Robert Chan
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Elliott David Finkel, Theresa Y. Hu, Richard A. Stephens
Hearing Site: Los Angeles, CA
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| 09-01995 | 03/30/2010 | Claimant(s): Karen Hankinson
Claimant Lawyers(s): Karen R. Hankinson
Respondent(s): Kathleen Mcpherson, Kenneth Brown, Russell Riccobono, Scott Brooks, Stanley Brooks, Steve Skytte, Brookstreet Securities Corporation
Respondent Lawyers(s): Donald E. Hemke, H. Thomas Fehn, Kathleen Margaret McPherson, Russell Robert Riccobono, Steve Skytte
Arbitrator(s): Thomas H. McAvoy, Michael D. Hamilton, Laurent Taylor
Hearing Site: Tampa, FL
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| 09-03896 | 03/02/2010 | Claimant(s): Bradley Mccord, Tracy Turner
Claimant Lawyers(s): Tracy Turner
Respondent(s): Capwest Securities.
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
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| 07-01941 | 09/23/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Gary Handler
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Robert S. Fash, Robert Elman, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
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| 07-01349 | 07/25/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Judy Louie
Respondent(s): Paul Hitchcock
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Alexander L. Mazour, Paul A. D. Evans, Terri Coster Boesch
Hearing Site: San Francisco, CA
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