| 16-00589 | 05/17/2019 | Claimant(s): Dana Smith
Claimant Lawyers(s): Dana Smith
Respondent(s): Anthony Minerva, Clayton Sontag, Daniel Dvorznak, Eric Arlt, Joseph Shea, Kenneth Fay, Nicholas Tsikitas
Respondent Lawyers(s): Anthony Minerva, Clayton Robert Sontag, Daniel Dvorznak, Eric David Arlt, Joseph Shea, Kenneth Patrick Fay, Nicholas George Tsikitas
Arbitrator(s): Jonathan H. Krotinger, Susan J. Alexander, Robert James Favole
Hearing Site: San Francisco, CA
|  | $0 |
| 17-02289 | 04/09/2019 | Claimant(s): Diane Noia, Michael Noia
Claimant Lawyers(s): Deanna C Besbekos-LaPage
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | Expungement |
| 18-01177 | 04/03/2019 | Claimant(s): Pamela Palmer
Claimant Lawyers(s): Steven Winick
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Mary Suhr
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Isidoro Berkman, William Michael Samsel, Steven Akiba Swernofsky
Hearing Site: San Francisco, CA
| | $127,000 |
| 18-00121 | 04/02/2019 | Claimant(s): Mirchandani-Xu FLT
Claimant Lawyers(s): Michael Hill
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): John J. Fitzpatrick, Jon H. Sylvester, Adrian Alec Colley
Hearing Site: San Francisco, CA
| | $0 |
| 18-01667 | 02/20/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Mauricio Salvador Beugelmans
Respondent(s): Linda Chen, Robert Chen
Respondent Lawyers(s): Linda T. Chen, Robert K. Chen
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Alan Richard Carlisle
Hearing Site: San Francisco, CA
| | $0 |
| 18-01031 | 02/20/2019 | Claimant(s): Ashok Yalamati
Claimant Lawyers(s): Ashok Kumar Yalamati
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Ronald Chun, Carol Ann Jensen, Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | $0 |
| 18-02428 | 02/20/2019 | Claimant(s): Michael Somerby
Claimant Lawyers(s): Michael R Somerby
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | $0 |
| 18-01982 | 01/25/2019 | Claimant(s): Chia Chen Chen
Claimant Lawyers(s): Danning Jiang
Respondent(s): Daniel Gong, Scottrade Inc.
Respondent Lawyers(s): Ilana H. Reid
Arbitrator(s): William Michael Samsel
Hearing Site: San Francisco, CA
| | $1,000 |
| 15-02387 | 12/14/2018 | Claimant(s): El Capitan Limited Corporation
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil Baritz
Arbitrator(s): Jeffrey M. Allen, Lawrence R. Mills, Anne M. Lawlor Goyette
Hearing Site: San Francisco, CA
| | $0 |
| 17-02665 | 12/13/2018 | Claimant(s): Rajiv Nagesetty& Neesha Pammi RevocTrust
Claimant Lawyers(s): Rick Conway
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | $0 |
