| 21-01195 | 12/17/2021 | Claimant(s): Joseph Frank
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 20-03645 | 11/02/2021 | Claimant(s): Javier Ovalles
Claimant Lawyers(s): Javier Ovalles
Respondent(s): Transamerica Investors Securities Corp.
Respondent Lawyers(s): Misty A. Murray
Arbitrator(s): William W. Haskell, Arocles Aguilar, Douglas J. Pavese
Hearing Site: San Francisco, CA
| | |
| 20-03046 | 08/25/2021 | Claimant(s): Corey Daniel
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia Cowart
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 20-03697 | 06/02/2021 | Claimant(s): Dennis de Champeaux
Claimant Lawyers(s): Dennis de Champeaux
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
|  | $213 |
| 20-03285 | 04/28/2021 | Claimant(s): William Biddle
Claimant Lawyers(s): Damon Booth
Respondent(s): Edward Jones, Michael Goodwin
Respondent Lawyers(s): Bentley P. Stansbury, Michael Goodwin
Arbitrator(s): Carlos Richard Mangum, David J. Romanski, Arocles Aguilar
Hearing Site: Reno, NV
| | Expungement |
| 19-00539 | 04/05/2021 | Claimant(s): Kenneth Snodgrass, Kenneth Snodgrass Revocable Trust
Claimant Lawyers(s): Fran Cole
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Nancy Hutt, Gary H. Kahn, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Expungement |
| 20-01189 | 01/07/2021 | Claimant(s): Valeria Blanchard
Claimant Lawyers(s): Lauren B. Koch
Respondent(s): First Financial Equity Corporation
Respondent Lawyers(s): Jason L. Cassidy
Arbitrator(s): David I. Levine, Mary H. Evans, Arocles Aguilar
Hearing Site: Reno, NV
| | Dismissed by Rules 12200, 12201, and 12504 |
| 20-03242 | 12/24/2020 | Claimant(s): Marcus Fagersten
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 18-02429 | 11/11/2020 | Claimant(s): Pablo Marull
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Gloria Greco, Jennifer Krone, Merrill Lynch Pierce Fenner & Smith Inc., Roland Burgess, Wilfred Gallinek, William Thomas
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Arocles Aguilar, Alden Sharp Adkins, Page R Barnes
Hearing Site: San Francisco, CA
| | |
| 20-00421 | 08/19/2020 | Claimant(s): Katie Buck
Claimant Lawyers(s): Harris Freedman
Respondent(s): H. Beck.
Respondent Lawyers(s): Matt Winterhalter
Arbitrator(s): Arocles Aguilar
Hearing Site: Honolulu, HI
| | |
