| 23-02462 | 11/04/2024 | Claimant(s): George Miller, Janet McKinley
Claimant Lawyers(s): Tyson C Redenbarger
Respondent(s): Samuel Schoner, First Republic Securities Company
Respondent Lawyers(s): E. Jeffrey Banchero, Mark L. Parmelee
Arbitrator(s): Philip Aaron Tymon, Gary S. DeWeese, Jonathan Polland
Hearing Site: San Francisco, CA
|  | Expungement |
| 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) |
| 20-00455 | 07/03/2024 | Claimant(s): Christina Aitchison, Thomas Aitchison, Christina S. Aitchison IRA Account, Thomas M. Aitchison IRA Account, TM & CS Aitchison 1998 Revocable Trust
Claimant Lawyers(s): Brandon S. Reif, Jon C. Furgison
Respondent(s): Morgan Stanley, Jim Stephenson, Nicholas Rogers
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Ralph A. Cotton, Peter H. Daly, Kevin Francis Woodall
Hearing Site: San Francisco, CA
| | Expungement |
| 23-02660 | 06/04/2024 | Claimant(s): Gabrielle Turner, Robert Turner
Claimant Lawyers(s): Gabrielle Turner
Respondent(s): Aspiration Financial LLC
Respondent Lawyers(s): Andrew Melnick
Arbitrator(s): Jonathan Polland
Hearing Site: San Francisco, CA
| | $0 |
| 22-00990 | 05/17/2024 | Claimant(s): Diane Jones, Huxley Richardson, Larry Marple, William Struwe
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Thomas J. LoSavio, Philip Aaron Tymon, Glenn Paul Gilbert
Hearing Site: San Francisco, CA
| | $0 |
| 22-00992 | 05/01/2024 | Claimant(s): Estate of Donald W. Gomez
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Morgan Stanley, Katie Beres
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Ralph A. Cotton, Scott Dodson, John Timothy Nardell
Hearing Site: San Francisco, CA
| | $0 |
| 22-00898 | 04/25/2024 | Claimant(s): Margaret van Krieken, Roeland van Krieken
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Herb Schwartz, Philip Aaron Tymon, Dennis Markham Smith
Hearing Site: San Francisco, CA
| | Expungement |
| 23-00420 | 04/24/2024 | Claimant(s): Leonid Krimotat, Sima Bergelson
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Kevin C. Coleman
Hearing Site: San Francisco, CA
| | $0 |
| 23-00196 | 03/26/2024 | Claimant(s): Shian-Chang Yu
Claimant Lawyers(s): Kamal Ghali
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Vivian L. Kral, Philip Aaron Tymon, Ann Elizabeth Sarli
Hearing Site: San Francisco, CA
| | $1,491,020 |
| 23-01369 | 03/21/2024 | Claimant(s): Sarra He
Claimant Lawyers(s): Sarra He
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Mitchell S. Ostwald
Hearing Site: San Francisco, CA
| | $10,303 |
