| 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 |
| 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 |
| 22-00549 | 12/20/2022 | Claimant(s): Dennis Nakamura, Rurie Nakamura, The Rurie Nakamura Rollover IRA, 1994 Akira & Rurie Nakamura Family Trust, The Akira Nakamura Bypass Trust, The Rurie Nakamura Marital Trust
Claimant Lawyers(s): Dennis M. Nakamura
Respondent(s): Kevin McGregor, Avantax Advisory Services., Avantax Investment Services., Avantax Wealth Management., H.D. Vest Advisory Services Inc.
Respondent Lawyers(s): Natalie P. Vance
Arbitrator(s): James R. Dickson, Shawn Ridgell, Clifford A. Threlkeld
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 |
| 09-01190 | 09/15/2010 | Claimant(s): Lynell Miller Jones, IRA Rollover
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Jerold R. Babin, Anthony G. Sousa, Shawn Ridgell
Hearing Site: San Francisco, CA
| | $0 |
