| 22-00049 | 10/07/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Gary Cattich
Respondent Lawyers(s): Mark C. Thomas
Arbitrator(s): Arocles Aguilar, Eduardo Barocio, Christian Arthur Zrull
Hearing Site: San Francisco, CA
| | |
| 23-01225 | 01/25/2024 | Claimant(s): Todd Gomes
Claimant Lawyers(s): Kathleen Patchel
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 21-01042 | 01/19/2024 | Claimant(s): Andrea Bollakis, Richard Molsby
Claimant Lawyers(s): Cameron D. Bordner
Respondent(s): Wells Fargo Clearing Services, Megan Phillips, Michael Garner, Theodore Rich, Thomas Metzger
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Carol Ann Jensen, Arocles Aguilar, Kevin C. Coleman
Hearing Site: Reno, NV
|  | $0 |
| 23-01889 | 12/15/2023 | Claimant(s): Kristopher Watts, Sherri Omdahl
Claimant Lawyers(s): Peter R. Boutin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Elisabeth Kratka
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 22-01925 | 12/12/2023 | Claimant(s): Christopher Berthold
Claimant Lawyers(s): Christopher Berthold
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Arocles Aguilar
Hearing Site: Seattle, WA
| | Dismissed by Rule 12212 and 12511 |
| 23-00794 | 10/31/2023 | Claimant(s): Justin Bailey
Claimant Lawyers(s): Robert Hill
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 22-01156 | 06/26/2023 | Claimant(s): Kevin Ho
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 22-01839 | 05/09/2023 | Claimant(s): Ronald Kuhn
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): David Smitham
Arbitrator(s): Peter H. Daly, Arocles Aguilar, Bruce Swartout
Hearing Site: Honolulu, HI
| | |
| 22-01513 | 12/19/2022 | Claimant(s): Sussan Hashemi
Claimant Lawyers(s): Sussan Hashemi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | $0 |
| 21-02776 | 06/22/2022 | Claimant(s): Ting O'Connor
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
