| 23-00656 | 09/27/2024 | Claimant(s): Bing Fong Ma, Carol Tam, Charles Karnavy, Christine Tai, Craig Hansen, Hao Fang, Ilaria Turner, John Pink, Julie Chou, Shui-Man Tong, Shun-Yee Perng, Sourav Dutt, Sun Su Qin Baker, Tin-Na Kan
Claimant Lawyers(s): Adam B. Wolf
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Adam Pollet
Arbitrator(s): Darryl J. Horowitt, Grace Sarkis Noubar Seferian, Colleen Honigsberg
Hearing Site: San Francisco, CA
|  | Dismissed by Rule 12206(b) |
| 21-02699 | 05/25/2023 | Claimant(s): Beverly Ranken
Claimant Lawyers(s): Adam B. Wolf
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Barbara M. Anscher, Jon H. Sylvester, David Handsher
Hearing Site: San Francisco, CA
| | Expungement |
| 21-02014 | 03/10/2023 | Claimant(s): Charles Till
Claimant Lawyers(s): Adam B. Wolf
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gara M. Seagraves
Arbitrator(s): Benjamin F. Breslauer, Holly Banafsheh, Farshad Ghodoosi
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-03136 | 05/09/2017 | Claimant(s): Bruce Bunnell, Michele DiGregorio, Sean Bunnell
Claimant Lawyers(s): Adam B. Wolf, Jason J. Kane
Respondent(s): Dalton Strategic Investment Services Inc
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Herb Schwartz, Howard M. Hoffman, Kenneth Paul Strongman
Hearing Site: San Francisco, CA
| | $306,223 |
| 13-02946 | 08/13/2015 | Claimant(s): Laura Rappaport, Richard Rappaport
Claimant Lawyers(s): Adam B. Wolf, Daniel J. Carr
Respondent(s): John Pisapia, Chelsea Financial Services
Respondent Lawyers(s): Theodore C. Peters
Arbitrator(s): Ralph H. Erickson, Audrey H. Ruben, Jeffrey Wittenberg
Hearing Site: Los Angeles, CA
| | Expungement |
