| 20-01759 | 08/31/2021 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): George Guerra
Respondent(s): Amy Zwaan
Respondent Lawyers(s): James H. Wilkins
Arbitrator(s): Andrew R. Epstein, Lester Friedman, John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 19-03679 | 03/10/2021 | Claimant(s): Kyra Kizirian
Claimant Lawyers(s): Kyra L Kizirian
Respondent(s): LPL Financial LLC, Eric Young, Keith Schmidt
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Lester Friedman, Jonathan H. Krotinger, Wendi Lee Eckardt
Hearing Site: San Francisco, CA
| | |
| 16-02640 | 10/11/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kevin J. Woods
Respondent(s): Terry Bailey
Respondent Lawyers(s): Terry Lee Bailey
Arbitrator(s): Lester Friedman, Alexandra M. Linden, Robert Sachs Mandelson
Hearing Site: San Francisco, CA
| | |
| 15-01751 | 06/19/2017 | Claimant(s): Dalas Gundersen
Claimant Lawyers(s): John R. Garner
Respondent(s): Edward Jones
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Lester Friedman, Robert Sachs Mandelson, John Burritt McArthur
Hearing Site: San Francisco, CA
| | |
| 15-00233 | 01/22/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): John Gannon
Respondent Lawyers(s): John F. Gannon
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
| | |
| 15-00851 | 12/31/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Jeffrey Rehling
Respondent Lawyers(s): Jeffrey Allen Rehling
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
| | |
| 11-01483 | 07/20/2012 | Claimant(s): Kurt Pham
Claimant Lawyers(s): Kurt Huy Pham
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Mary Curran, Lester Friedman, Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 09-06810 | 02/29/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Kent Elliott
Respondent Lawyers(s): John W. Shaw
Arbitrator(s): Lester Friedman, Gary A. Hooker, Val D. Hornstein
Hearing Site: San Francisco, CA
| | |
| 10-04058 | 12/07/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Craig Isaacson
Respondent Lawyers(s): Craig E. Isaacson
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
| | |
| 10-04089 | 02/25/2011 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Luis Morales
Respondent Lawyers(s): Luis Emilio Morales
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
| | |
