22-01491 | 05/24/2024 | Claimant(s): Gregory Martini Claimant Lawyers(s): Aaron A. Romney Respondent(s): TD Ameritrade. Respondent Lawyers(s): Christopher A. Stecher Arbitrator(s): Barbara Black, Mitchel Weiss, Bradley Reynolds Hearing Site: Atlanta, GA
| | $0 |
23-01369 | 03/21/2024 | Claimant(s): Sarra He Claimant Lawyers(s): Sarra He Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Christopher A. Stecher Arbitrator(s): Mitchell S. Ostwald Hearing Site: San Francisco, CA
| | $10,303 |
23-00573 | 01/31/2024 | Claimant(s): Manoj Bhartiya Claimant Lawyers(s): Manoj Bhartiya Respondent(s): TD Ameritrade. Respondent Lawyers(s): Christopher A. Stecher Arbitrator(s): Karimu F. Hill-Harvey, Elizabeth A. Townes, Natalie Paskiewicz Hearing Site: Tampa, FL
| | $0 |
22-02462 | 01/05/2024 | Claimant(s): Ava Naeini Claimant Lawyers(s): Ava Naeini Respondent(s): TD Ameritrade Clearing., TD Ameritrade. Respondent Lawyers(s): Christopher A. Stecher Arbitrator(s): Elliott Finkel, Joseph Winter, Robert Charles Pearman Hearing Site: Los Angeles, CA
| | $0 |
21-01800 | 08/24/2023 | Claimant(s): Rudolph Baker Claimant Lawyers(s): Rudolph Baker Respondent(s): E*Trade Securities LLC, TD Ameritrade Clearing., TD Ameritrade. Respondent Lawyers(s): Christopher A. Stecher, John Bersin Arbitrator(s): Joseph C. Watson, W. Alex King, Richard Andrew Roupoli Hearing Site: Los Angeles, CA
| | $0 |
21-02041 | 05/02/2023 | Claimant(s): Eda Lee Haas, Julia Berg, Phillip Haas, Sandra Gollofon, Susan Meyers Claimant Lawyers(s): Duncan E Manville Respondent(s): Charles Schwab & Co.., Interactive Brokers LLC Respondent Lawyers(s): Christopher A. Stecher, David Luger Arbitrator(s): Elwood C. Avery, Cheung David Chhieng, Katherine L Sidener Hearing Site: Seattle, WA
| | $0 |
20-03896 | 03/22/2022 | Claimant(s): Richard Dunstan, Perma-Chink Systems., Richard Dunstan Contributory IRA, Richard Dunstan Roth Conversion IRA Claimant Lawyers(s): Mark C. Santi Respondent(s): Charles Schwab & Co.., Interactive Brokers LLC Respondent Lawyers(s): Christopher A. Stecher, David Luger Arbitrator(s): Katherine Hendricks, Jonathan Sprouffske, Martin Kehoe Hearing Site: Seattle, WA
| | $0 |
17-02810 | 12/30/2019 | Claimant(s): John Rossum Claimant Lawyers(s): Melinda J. Steuer Respondent(s): Bradley Gardner, Wells Fargo Advisors Financial Network Respondent Lawyers(s): Amir Tadjedin, Christopher A. Stecher Arbitrator(s): Ralph A. Cotton, Philip Aaron Tymon, Norman Dale Menegat Hearing Site: San Francisco, CA
| | Settlement |
17-02841 | 11/29/2019 | Claimant(s): Debrah Oelke, Pamela Grether Claimant Lawyers(s): Paul A. Lieberman Respondent(s): Louis Lukic, UBS Financial Services Inc., Michael Kelly Respondent Lawyers(s): Christopher A. Stecher Arbitrator(s): Terry F Peppard, David J. Hase, Matthew James Kearney Hearing Site: Milwaukee, WI
| | |
18-02071 | 11/07/2019 | Claimant(s): Rivette Family Trusts Claimant Lawyers(s): Douglas W. Oldfield Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Christopher A. Stecher Arbitrator(s): Kathryn J. Toronto, Gary Kostow, Ranjani Mohana Hearing Site: San Francisco, CA
| | $0 |