23-00066 | 11/28/2023 | Claimant(s): Gorospe Trust, Andre Gorospe, Trustee Claimant Lawyers(s): Richard Haas Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Garrett R. Wynne Arbitrator(s): Mary Margaret Bush Hearing Site: Honolulu, HI
| | Expungement |
21-02729 | 02/28/2023 | Claimant(s): Michael Phillips Claimant Lawyers(s): Courtney M. Werning Respondent(s): Asia Pacific Financial Management Group Respondent Lawyers(s): Anne T. Freeland Arbitrator(s): Daniel M. Yamshon, Mary Margaret Bush, Alden Sharp Adkins Hearing Site: Honolulu, HI
| | $3,042,160 |
21-02374 | 01/17/2023 | Claimant(s): Allen Wagner Claimant Lawyers(s): Allen B. Wagner Respondent(s): Kelly Behunin, Fidelity Brokerage Services LLC, Peter Lee, Puja Aggarwal, Robert Burge, FMR, Fidelity Personal & Workplace Advisors, Strategic Advisers LLC Respondent Lawyers(s): Casey W. Jones, Noah D. Sorkin Arbitrator(s): Mary Margaret Bush, Philip Aaron Tymon, Diane Duvall Hearing Site: San Francisco, CA
| | Expungement |
20-01066 | 12/22/2021 | Claimant(s): Edward Newman Claimant Lawyers(s): Edward K. Newman Respondent(s): Aja Hallin, Beth Kirkland, Elizabeth Roberts, Wells Fargo Clearing Services, Kevin Smith, Sanford Smith, Theresa Machi, Tomm Hudson Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Mary Margaret Bush, David I. Levine, Christopher Cother Powers Hearing Site: San Francisco, CA
| | $0 |
18-03907 | 09/11/2019 | Claimant(s): Gavin Kerby Claimant Lawyers(s): Gavin Kerby Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Anthony L. Valenzuela Arbitrator(s): Thaddeus J. Tecza, Ronald G. Guida, Mary Margaret Bush Hearing Site: Salt Lake City, UT
| | Dismissed |
16-02246 | 04/24/2018 | Claimant(s): Jacob Coronado Claimant Lawyers(s): Henry D. Nunez Respondent(s): Wells Fargo Advisors, Wells Fargo Investments, Mark Nance, Michael Muller, Wells Fargo Bank National Association Respondent Lawyers(s): Michael Joseph Gomez Arbitrator(s): Paul J. Dubow, Peter H. Daly, Mary Margaret Bush Hearing Site: San Francisco, CA
| | $181,931 |
16-03643 | 03/06/2018 | Claimant(s): Mark Watson Claimant Lawyers(s): Chad S. Pehrson Respondent(s): Brandon Stimpson, Allegis Investment Advisors, Allegis Investment Services Respondent Lawyers(s): Tamara A. Seelman Arbitrator(s): Jonathan H. Krotinger, Mary Margaret Bush, Kathy L. Eisenmenger Hearing Site: Salt Lake City, UT
| | $404,480 |
15-00156 | 08/30/2016 | Claimant(s): Michael Hammel Claimant Lawyers(s): Ryan Cook Respondent(s): Michael Regina Respondent Lawyers(s): Robert M. Bursky Arbitrator(s): Mary Margaret Bush, Ralph L. Jacobson, Eric Carl Aker Hearing Site: San Francisco, CA
| | $183,232 |
15-00363 | 07/31/2015 | Claimant(s): Lesleigh Root Claimant Lawyers(s): Adam J. Gana Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Susan E. Sheely Arbitrator(s): Mary Margaret Bush Hearing Site: San Francisco, CA
| | $31,757 |
14-02201 | 02/26/2015 | Claimant(s): Xiwei Wu Claimant Lawyers(s): Xiwei Wu Respondent(s): Zhaohui Chen, Transamerica Financial Advisors Respondent Lawyers(s): Susan Duff Arbitrator(s): Mary Margaret Bush Hearing Site: San Francisco, CA
| | $0 |