| 18-04091 | 10/20/2022 | Claimant(s): Manjunath Nathan, Arizona Medical Center, PLLC
Claimant Lawyers(s): Leslie Schwaebe Akins
Respondent(s): John Kelly, Lifemark Securities Corp.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Deana S. Peck, Floyd Gerry Hoffman, J. William Brammer
Hearing Site: Phoenix, AZ
|  | $0 |
| 20-03575 | 02/18/2022 | Claimant(s): Michael Goldstein
Claimant Lawyers(s): Jeffrey S. Kob
Respondent(s): Michael Tate, Nikolai Papa, Securian Financial Services.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Sarah Jane Militello, Robert James Favole, Michael Zatkin
Hearing Site: San Francisco, CA
| | Expungement |
| 17-00102 | 12/15/2020 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ameriprise Financial Services, Li-lin Hsu
Respondent Lawyers(s): Chad Weaver, Li-lin Hsu
Arbitrator(s): Lois J. Cox, Milton N. Gross, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $0 |
| 19-02981 | 07/13/2020 | Claimant(s): Brenda Rossman
Claimant Lawyers(s): Adam Gana
Respondent(s): Investment Architects.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Mark Alan Sevigny, Gregory Douglas Stone, Carolyn Renee Payne
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206/12504 |
| 17-01674 | 08/22/2019 | Claimant(s): Richard Wagenfeld
Claimant Lawyers(s): Val D. Hornstein
Respondent(s): J.P. Morgan Securities, Securities America., Michael Long
Respondent Lawyers(s): Chad Weaver, Michael J. Charlillo
Arbitrator(s): Paul J. Dubow, Dean J. Dietrich, Jonathan Polland
Hearing Site: San Francisco, CA
| | $0 |
| 18-00122 | 04/10/2019 | Claimant(s): Paula Tyler, Trustee Tyler Family Trust
Claimant Lawyers(s): Joseph S. Schuchert
Respondent(s): National Securities Corporation, Folio Investments.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Mary M. O'Neil, Earl Robert Jordan, Bonnie Chavez
Hearing Site: Los Angeles, CA
| | $0 |
| 18-00160 | 09/21/2018 | Claimant(s): Mary Abbott
Claimant Lawyers(s): Melissa Abbott
Respondent(s): Casey Broach, National Planning Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | $14,000 |
| 15-02285 | 09/21/2017 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ameriprise Financial Services., Li-Lin Hsu, American Express Financial Corporation
Respondent Lawyers(s): Chad Weaver, Li-Lin Hsu
Arbitrator(s): Richard M. Norman, Kirtley M. Thiesmeyer, Lorraine Woodwark
Hearing Site: Los Angeles, CA
| | Settlement |
| 15-02046 | 07/21/2017 | Claimant(s): Harold Garner, Shirley Garner
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Ameriprise Financial Services., Michael Sommerfield
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Douglas Earl McLaren, Christopher M. McMurray, Eric Erdheim
Hearing Site: Baltimore, MD
| | Expungement |
| 16-02408 | 07/07/2017 | Claimant(s): Randall Moses
Claimant Lawyers(s): Randall H. Moses
Respondent(s): Dawn Winship
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | Expungement |
