| 18-02829 | 06/24/2020 | Claimant(s): Amber Auto, Ltd., Standard Group Resources, Ltd
Claimant Lawyers(s): Brian J. McSweeney
Respondent(s): Daniel Speirs, Wells Fargo Clearing Services
Respondent Lawyers(s): Geoffrey Beckham
Arbitrator(s): Lawrence R. Mills
Hearing Site: San Francisco, CA
|  | $0 |
| 18-02136 | 02/24/2020 | Claimant(s): David Valponi, Elizabeth Valponi, The Valponi Revocable Trust dtd 2/24/98, Valponi Family Irrevocable Trust FBO Ali, Valponi Family Irrevocable Trust FBO Eri
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): David Markun
Arbitrator(s): Lawrence R. Mills, Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | $699,664 |
| 19-00141 | 02/20/2020 | Claimant(s): DeAnnah L Thomas, Richard M Thomas
Claimant Lawyers(s): John Garner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeffrey s. Jacobi
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | $0 |
| 19-01119 | 02/20/2020 | Claimant(s): Michael Nalewaja
Claimant Lawyers(s): Michael Terry Nalewaja
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John Stewart
Arbitrator(s): Helen Marinak Blohm, Robert Sachs Mandelson, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | $0 |
| 19-01297 | 02/20/2020 | Claimant(s): Kristen Harnage
Claimant Lawyers(s): Etan E Rosen
Respondent(s): Jeromy Pierroz, Scott Andersen
Respondent Lawyers(s): Michael J. Margosian, Peter R. Boutin
Arbitrator(s): David I. Levine, Ronald Chun, Michael Robert Addison
Hearing Site: San Francisco, CA
| | $0 |
| 19-02918 | 02/14/2020 | Claimant(s): Vedran Pogacnik
Claimant Lawyers(s): Vedran Pogacnik
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
| | $25 |
| 18-03983 | 02/05/2020 | Claimant(s): Janga Aliminati
Claimant Lawyers(s): Lars Kristian Soreide
Respondent(s): Suihock Goy, Ni Advisors
Respondent Lawyers(s): Douglas B. Martin, Jr.
Arbitrator(s): William W. Haskell, Vivian L. Kral, Ronald Chun
Hearing Site: San Francisco, CA
| | $0 |
| 14-03857 | 01/13/2020 | Claimant(s): Charlotte B. Milliner SEP IRA, Charlotte B Milliner Trust dtd 1/30/1997
Claimant Lawyers(s): David Sturgeon-Garcia
Respondent(s): Mary Evans, Thomas Bock
Respondent Lawyers(s): Frances Menzer
Arbitrator(s): Herbert Liberman, Donald H. Korn, Shawn Ridgell
Hearing Site: San Francisco, CA
| | $773,527 |
| 19-01596 | 01/10/2020 | Claimant(s): Laura Nasatir, Laura M. Nasatir Roth IRA, Laura M. Nasatir SEP IRA, Laura M. Nasatir 401K, Laura M. Nasatir Defined Benefit Plan, Laura M. Nasatir Trust
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
| | $0 |
| 17-02810 | 12/30/2019 | Claimant(s): John Rossum
Claimant Lawyers(s): Melinda J. Steuer
Respondent(s): Bradley Gardner, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Amir Tadjedin, Christopher A. Stecher
Arbitrator(s): Ralph A. Cotton, Philip Aaron Tymon, Norman Dale Menegat
Hearing Site: San Francisco, CA
| | Settlement |
