| 19-03417 | 10/06/2023 | Claimant(s): Elmer Ferguson
Claimant Lawyers(s): Elmer Richard Ferguson
Respondent(s): MMA Securities LLC, Marsh & McLennan Agency LLC
Respondent Lawyers(s): Benjamin Emmert
Arbitrator(s): Ronald Chun, Clifford A. Threlkeld, Richard Thomas Boyer
Hearing Site: San Francisco, CA
| | |
| 18-03175 | 03/23/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): G. Thomas Fleming
Respondent(s): Robert Dressler, Yuen Lin Chan
Respondent Lawyers(s): G. Thomas Fleming, Neil L. Henrichsen
Arbitrator(s): Daniel M. Yamshon, Clifford A. Threlkeld, Elizabeth Dye Battaglia
Hearing Site: San Francisco, CA
| | |
| 22-00805 | 01/23/2023 | Claimant(s): Steven Rose
Claimant Lawyers(s): Jeffrey Thomas
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Laurel Littman Gothelf, Bradley C. Mitchell, Clifford A. Threlkeld
Hearing Site: Reno, NV
| | |
| 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 |
| 20-02209 | 08/31/2021 | Claimant(s): Nirmada Kaufman, Nirmada Lauren Ann Kaufman Rev. Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Morgan Stanley, Peter Waterloo
Respondent Lawyers(s): Kathleen Salvaty
Arbitrator(s): Clifford A. Threlkeld, Robert James Favole, Norman D Menegat
Hearing Site: San Francisco, CA
| | Expungement |
| 19-02863 | 10/23/2020 | Claimant(s): Gerard Camerino
Claimant Lawyers(s): Wilmer D. Masterson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Eric M. Steinert
Arbitrator(s): Bradley C. Mitchell, Clifford A. Threlkeld, Kenneth Paul Strongman
Hearing Site: San Francisco, CA
| | |
| 18-01198 | 06/04/2019 | Claimant(s): John Turman, Dana Turman TTE of Turman Family Trust B, John Turman TTE of Turman Family Trust A
Claimant Lawyers(s): Michael G. Bolgatz
Respondent(s): Morgan Stanley, Kevin Wolfe, Robert Rius
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Lawrence R. Mills, Clifford A. Threlkeld, Michael Craig Butterworth
Hearing Site: San Francisco, CA
| | Expungement |
| 18-01092 | 11/20/2018 | Claimant(s): Linda Langille, Robinson Langille
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Royal Alliance Associates., Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Bradley A. Fishman, Peter J. McElligott
Arbitrator(s): Dean J. Dietrich, Clifford A. Threlkeld, Martin Joel Fassler
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 18-00642 | 10/02/2018 | Claimant(s): Emmanuel Obel
Claimant Lawyers(s): Emmanuel Obel
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Bradley Fishman
Arbitrator(s): Reed H. Bement, Jonathan H. Krotinger, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | Expungement |
| 16-02314 | 11/22/2017 | Claimant(s): Robert Leech, Robert W. Leech IRA, The Leech Family Trust
Claimant Lawyers(s): Tom Leech
Respondent(s): Wells Fargo Advisors, Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper, Michael Naccarato
Arbitrator(s): John J. Flynn, Kevin C. Coleman, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | Expungement |
