| 21-01249 | 08/17/2022 | Claimant(s): Rex Nassour IRA
Claimant Lawyers(s): Michael S. Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Reno, NV
|  | Expungement |
| 20-01987 | 08/25/2021 | Claimant(s): Karin Von Burg
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Lloyd R. Schwed
Arbitrator(s): Joseph C. Roberts, Laurel Littman Gothelf, Gary H. Kahn
Hearing Site: San Francisco, CA
| | $0 |
| 21-00395 | 08/13/2021 | Claimant(s): Michelle Legatzke IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Erinn M. Maguire
Arbitrator(s): Laurel Littman Gothelf, Peter H. Daly, Lesley Ann Troope
Hearing Site: Reno, NV
| | Dismissed by Rule 12206(b) |
| 18-02055 | 06/18/2019 | Claimant(s): David Hollander
Claimant Lawyers(s): Edward S. Zusman
Respondent(s): Stephen Hom
Respondent Lawyers(s): Marnie C. Lambert
Arbitrator(s): Laurel Littman Gothelf, Alden Sharp Adkins, Shahla F. Ali
Hearing Site: San Francisco, CA
| | Expungement |
| 16-03174 | 03/07/2018 | Claimant(s): Gary Fields, Marjorie Fields, Gary B. Fields Roth IRA, Gary B. Fields Traditional IRA, Marjorie Fields Traditional IRA, Fields Family Trust U/A DTD 10/04/1994
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Laurel Littman Gothelf, Robert M. Smith, Norman Dale Menegat
Hearing Site: San Francisco, CA
| | Expungement |
| 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 |
| 16-03515 | 08/29/2017 | Claimant(s): Laurie Seeman, Michael Cadoo, Michael Cadoo IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): David Down, James Lunsford, Jeanine Devine, Sarah Fong, Timothy Brown, Mid Atlantic Capital Corporation
Respondent Lawyers(s): James B. Lunsford, John W. Stenson
Arbitrator(s): Laurel Littman Gothelf, William Michael Samsel, John Burritt McArthur
Hearing Site: San Francisco, CA
| | Expungement |
| 15-02068 | 03/14/2017 | Claimant(s): Laura Birzell, Mark Birzell
Claimant Lawyers(s): John A. Bender, Kristin Nealey Meier
Respondent(s): Nicholas Hodges, Money Concepts Capital Corp.
Respondent Lawyers(s): Gabriel Z. Reynoso, Marc S. Dobin
Arbitrator(s): Laurel Littman Gothelf, John M. Casey, Kate Jacobson
Hearing Site: Seattle, WA
| | Expungement |
| 15-03104 | 02/27/2017 | Claimant(s): Mary Jo Metro
Claimant Lawyers(s): Daniel A. Rogers
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): William J. Brack, Laurel Littman Gothelf, William P. Bergsten
Hearing Site: Seattle, WA
| | $0 |
| 15-00756 | 05/06/2016 | Claimant(s): Iraj Zandi
Claimant Lawyers(s): Michael S. Treppa
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | $30,225 |
