| 23-03050 | 05/06/2024 | Claimant(s): Gary Glockzin
Claimant Lawyers(s): Zachary S. Knoblock
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Jonathan L. French
Arbitrator(s): Charles G. Michaels, Mary Margaret Bush, Howard N. Gorney
Hearing Site: San Diego, CA
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| 23-01437 | 04/05/2024 | Claimant(s): Ellice Papp
Claimant Lawyers(s): Harris Freedman
Respondent(s): Prudential Equity Group, Lehman Brothers Inc
Respondent Lawyers(s): Christopher K. Kiplok, Jennifer E. Novoselsky
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 23-01204 | 03/07/2024 | Claimant(s): Laif Meidell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Associated Securities Corp.
Respondent Lawyers(s): Registered Corporate Agent
Arbitrator(s): Mary Margaret Bush
Hearing Site: Reno, NV
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| 22-01567 | 08/04/2023 | Claimant(s): Paul Knoblich
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Foothill Securities.
Respondent Lawyers(s): Jeff Naylor
Arbitrator(s): Carlos Richard Mangum, Daniel M. Yamshon, Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 22-01713 | 05/18/2023 | Claimant(s): Steven Zhou
Claimant Lawyers(s): Samantha Pastor
Respondent(s): JMP Securities LLC
Respondent Lawyers(s): Andrew R. Livingston
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 22-00467 | 04/10/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): William Montgomery
Respondent(s): Bruce Davis
Respondent Lawyers(s): Bruce Lavar Davis
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 20-02284 | 05/20/2022 | Claimant(s): Mathew Schweifler
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 21-01216 | 12/08/2021 | Claimant(s): Henry Franscioni
Claimant Lawyers(s): Zachary Morse
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 20-03071 | 11/10/2021 | Claimant(s): Mathew Schweifler
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Rosemary Francavilla
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 20-04058 | 08/23/2021 | Claimant(s): Thomas Chaney
Claimant Lawyers(s): James P Galvin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Gene R Thornton, John J. Fitzpatrick, Mary Margaret Bush
Hearing Site: Albuquerque, NM
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