| 21-02253 | 03/04/2022 | Claimant(s): Almaz Tesfamariam
Claimant Lawyers(s): Almaz Tesfamariam
Respondent(s): John Lavalle, William Auriemma, Wells Fargo Clearing Services, Llc
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
|  | $0 |
| 20-00687 | 04/21/2021 | Claimant(s): Laurie LaRoche
Claimant Lawyers(s): David Miller
Respondent(s): James McPherson, Sandlapper Securities, Llc
Respondent Lawyers(s): James Dwight McPherson, Trevor L. Gordon
Arbitrator(s): Steven Ira Weinberger, Randy Atlas, Margo Leslie Green
Hearing Site: Boca Raton, FL
| | $125,000 |
| 18-02854 | 11/25/2020 | Claimant(s): Timothy Bussey, Bussey Law Firm, P.C., Bussey Law Firm 401K Profit Sharing Pla
Claimant Lawyers(s): James R. Miller
Respondent(s): Danny Holladay, Ian Ahrendsen, Michael Clark, MML Investors Services, Llc
Respondent Lawyers(s): Derek C. Anderson, Julie E. Ravis, Michael H. Clark
Arbitrator(s): Steven Meyrich, Thomas R. Bromberg, Andrew Barton
Hearing Site: Denver, CO
| | $0 |
| 16-03605 | 08/24/2018 | Claimant(s): Kathy Wookey, Thomas Wookey
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): John Lowry, Robert Murray, Spartan Capital Securities, Llc
Respondent Lawyers(s): Liam O'Brien
Arbitrator(s): Paul H. Lamboley, Danielle L. Anderson, Dee Maresso-Newell
Hearing Site: Rapid City, SD
| | $330,425 |
| 16-01450 | 01/05/2018 | Claimant(s): Donna Gambee
Claimant Lawyers(s): Charles H. Field
Respondent(s): David Barber, Madison Avenue Securities, Llc
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Deanna J. Johnson, Janice L. Sperow, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | $1,945,400 |
| 12-02734 | 06/09/2014 | Claimant(s): Kaylyn Kelsey Kerr 1989 Trust, Kaylyn Kerr Irrevocable Trust
Claimant Lawyers(s): Bryan Forman
Respondent(s): Donald Donahue, John Mahoney, Suzanne Gavin, 1st Worldwide Financial Partners, Llc
Respondent Lawyers(s): John F. Mahoney, Michael Schwartzberg, Suzanne Gavin Mahoney
Arbitrator(s): William E. Hartsfield, Robert L. Chisolm, Russell Phillips Gandy
Hearing Site: Dallas, TX
| | Expungement |
| 10-04481 | 03/15/2013 | Claimant(s): Frank Tsuru, Stephanie Tsuru
Claimant Lawyers(s): Scott D. Marrs
Respondent(s): Brodie Cobb, Colin Carter, Jerome Deren, Julie Helwig, Presidio Capital Advisors, Llc, Presidio Financial Partners, L.L.C., Presidio Wealth Management
Respondent Lawyers(s): Jennifer Evans Morris
Arbitrator(s): Linda Broocks, David G. Beerbower, Arno C. Schwethelm
Hearing Site: Houston, TX
| | Expungement |
| 12-01392 | 11/30/2012 | Claimant(s): David Chow
Claimant Lawyers(s): David Chow
Respondent(s): Wells Fargo Advisors, Llc
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $0 |
| 10-03863 | 03/05/2012 | Claimant(s): Christopher Bartol, Matthew Spagat, Mitchell Simborg, Sheldon Simborg, Flagstaff
Claimant Lawyers(s): Elliot Samuels, John J. Muldoon
Respondent(s): David Lansburgh, Brewer Financial Services, Gar Wood Securities, Llc
Respondent Lawyers(s): Adam Erickson, James E. Dahl, Thomas K. Anderson
Arbitrator(s): John N. Chapin, Champ W. Davis, Eugene N. Halladay
Hearing Site: Chicago, IL
| | $0 |
| 11-00388 | 03/02/2012 | Claimant(s): Mary Carkeet
Claimant Lawyers(s): K. Michael Swann
Respondent(s): International Assets Advisory, Llc
Respondent Lawyers(s): Kevin A. Carreno
Arbitrator(s): David M. Levine, Thomas Joseph Atkinson, Lauren S. Puritz
Hearing Site: Orlando, FL
| | $0 |
