| 22-02405 | 03/20/2024 | Claimant(s): Kwesi Buabeng
Claimant Lawyers(s): Robert Savage
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Lawrence R. Mills, Mary Mackey, Anna Arcellana Matheson
Hearing Site: San Francisco, CA
|  | $0 |
| 18-03632 | 03/11/2024 | Claimant(s): J. Spencer Dryden Trust, T. Inez Dryden Trust
Claimant Lawyers(s): Charles Ferguson
Respondent(s): Catherine Angle, Darlene Dye, Raymond James & Associates., Raymond James Financial Services., Marc Miller, Mark Rockower, Phyllis K. Dryden Living Trust
Respondent Lawyers(s): Charles Ferguson, Michael S. Lamont, Peter S. Fruin, Phyllis Kay Dryden
Arbitrator(s): Philip Aaron Tymon, Alden Sharp Adkins, Scott Dodson
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504 |
| 23-02349 | 03/01/2024 | Claimant(s): Eugene Lash
Claimant Lawyers(s): Eugene H Lash
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ellen M. Murphy
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | $51,698 |
| 23-02654 | 02/22/2024 | Claimant(s): Kathleen Adams
Claimant Lawyers(s): Kathleen Adams
Respondent(s): Daniel Needler, U.S. Bancorp Investments.
Respondent Lawyers(s): Shawn Larsen-Bright
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 23-02244 | 02/01/2024 | Claimant(s): Arun Chayra
Claimant Lawyers(s): Arun Chayra
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Matthew H. Ladner
Arbitrator(s): Ralph A. Cotton
Hearing Site: San Francisco, CA
| | $0 |
| 23-02272 | 12/22/2023 | Claimant(s): Yan Liu
Claimant Lawyers(s): Yan Liu
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
| | $0 |
| 22-00317 | 11/29/2023 | Claimant(s): Yimin Luo
Claimant Lawyers(s): Mark Hostetter
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Bryce M. Cullinane
Arbitrator(s): David M. Achterkirchen, Alden Sharp Adkins, Bruce J Highman
Hearing Site: San Francisco, CA
| | $0 |
| 21-00202 | 10/26/2023 | Claimant(s): Salah Uddin
Claimant Lawyers(s): Salah Uddin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Harris L. Kay
Arbitrator(s): Michael C. Anigbogu, Shawn Ridgell, Gary Kostow
Hearing Site: San Francisco, CA
| | $0 |
| 23-01679 | 10/23/2023 | Claimant(s): Richard Davidson
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Steven Hirata
Respondent Lawyers(s): Steven Kiyoto Hirata
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
| | $984,600 |
| 22-02756 | 08/14/2023 | Claimant(s): Alan Fong
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | $0 |
