| 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 |
| 20-00668 | 08/27/2021 | Claimant(s): Estate of Gary Lynnes
Claimant Lawyers(s): Ty Lynnes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Daniel M. Yamshon, Barbara M. Anscher, Kerry C. Koep
Hearing Site: Bismarck, ND
| | Expungement |
| 17-01168 | 12/29/2020 | Claimant(s): Michael Bowe
Claimant Lawyers(s): Michael E. Bowe
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Barbara M. Anscher, Michael Lancaster Garcia, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
| | $16,000 |
| 17-01086 | 01/22/2020 | Claimant(s): Reuben Nemoto
Claimant Lawyers(s): Mitchell S. Wong
Respondent(s): Chirag Dave, Pacific Financial Partners LLC
Respondent Lawyers(s): Matthew C. Shannon
Arbitrator(s): Barbara M. Anscher, Christopher W. Allick, Michael Craig Butterworth
Hearing Site: Honolulu, HI
| | Settlement |
| 18-02485 | 07/11/2019 | Claimant(s): Donald Rensch
Claimant Lawyers(s): David Neuman
Respondent(s): Travis Hudak
Respondent Lawyers(s): Dochtor Kennedy
Arbitrator(s): Donald N. Tolin, Richard Marc Weinroth, Barbara M. Anscher
Hearing Site: Salt Lake City, UT
| | $0 |
| 15-01322 | 02/09/2018 | Claimant(s): Winnie Fang
Claimant Lawyers(s): William W. Palmer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Laurel Littman Gothelf, Barbara M. Anscher, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $0 |
| 16-02585 | 12/12/2017 | Claimant(s): Debra Bitney, Debra Bitney Rev. Trust U/A DTD 3/1/11
Claimant Lawyers(s): John W. Stephens
Respondent(s): Morgan Stanley, Michael Louaillier, Morgan Stanley Wealth Management
Respondent Lawyers(s): Lesley Tepper, Thomas V. Dulcich
Arbitrator(s): Barbara M. Anscher, Peter Khalil, Philip Alan Johnson
Hearing Site: Portland, OR
| | $170,362 |
| 16-02497 | 05/26/2017 | Claimant(s): Yagil Hertzberg
Claimant Lawyers(s): Yagil Hertzberg
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Matthew H. Ladner
Arbitrator(s): Barbara M. Anscher
Hearing Site: San Francisco, CA
| | $0 |
| 15-02201 | 04/13/2017 | Claimant(s): Lek Securities Corporation
Claimant Lawyers(s): David Wrobel
Respondent(s): Robert Wolfson
Respondent Lawyers(s): Robert A. Wolfson
Arbitrator(s): Gary Timothy Haight, Barbara M. Anscher, Christopher J. Hadsell
Hearing Site: San Francisco, CA
| | $0 |
| 14-00322 | 02/01/2016 | Claimant(s): Gary Anglen
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Brookville Capital Partners
Respondent Lawyers(s): Brett D. Zinner
Arbitrator(s): Barbara M. Anscher
Hearing Site: San Francisco, CA
| | $0 |
