| 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 |
| 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 |
| 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 |
| 22-00951 | 07/28/2023 | Claimant(s): Holden Green
Claimant Lawyers(s): Holden Green
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Ralph A. Cotton, William W. Haskell, Lowell H. Haky
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504/12212 |
| 19-01892 | 07/13/2021 | Claimant(s): Susan Gordon Neal
Claimant Lawyers(s): Adam J. Stewart
Respondent(s): David Reynolds, Steven Wright, Principal Securities.
Respondent Lawyers(s): David Lee Reynolds, Kathryn Roe Eldridge
Arbitrator(s): Ralph A. Cotton, Juleanne (Julie) A. Thiebaut, Stanley Data
Hearing Site: San Francisco, CA
| | Expungement |
| 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 |
| 16-02012 | 07/02/2018 | Claimant(s): Alberto Fogel, Rita Bemaras De Mizrachi
Claimant Lawyers(s): Brian Levin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): William Ziering, Ralph A. Cotton, Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | Expungement |
| 15-02707 | 12/22/2017 | Claimant(s): Bonnie Bolle, Robin Richardson, Estate of Byron Bolle
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Carlos Miranda, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Ralph A. Cotton, Philip Ho, Robert M. Smith
Hearing Site: San Francisco, CA
| | $685,580 |
| 17-00568 | 07/13/2017 | Claimant(s): Sara Smith
Claimant Lawyers(s): Sara J. Smith
Respondent(s): Rigoberto Pena-Rankin
Respondent Lawyers(s): Rigoberto Javier Pena-Rankin
Arbitrator(s): Ralph A. Cotton
Hearing Site: San Francisco, CA
| | $0 |
| 13-03274 | 03/31/2015 | Claimant(s): Roberta Franklin, The Downey Brand, LLP Employment Retirem, Roberta Lee Franklin IRA
Claimant Lawyers(s): Roberta Lee Franklin
Respondent(s): Edward Stadjuhar, Sagepoint Financial., Strategic Wealth Advisors Group
Respondent Lawyers(s): Gregory T. Fayard, Kasumi L. Takahashi
Arbitrator(s): Ralph A. Cotton, Michael J. Fish, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | Expungement |
