| 21-01745 | 02/28/2022 | Claimant(s): Dax Williamson
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Wells Fargo Advisors Financial Network, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Geoffrey S. Beckham, Katelyn H. Wilson
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
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| 19-03052 | 10/26/2021 | Claimant(s): Marie Mesmer
Claimant Lawyers(s): Tiega Varlack
Respondent(s): Raymond James Financial Services., Ka Ki Leung
Respondent Lawyers(s): Chad E. Weaver
Arbitrator(s): Thomas D. Reese, William W. Haskell, David I. Levine
Hearing Site: San Francisco, CA
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| 20-02278 | 10/19/2021 | Claimant(s): Christopher Scroggins
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
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| 20-02285 | 08/26/2021 | Claimant(s): Mathew Schweifler
Claimant Lawyers(s): Harry Meyer
Respondent(s): Brokersxpress LLC
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
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| 20-03369 | 05/21/2021 | Claimant(s): Rey Deborja
Claimant Lawyers(s): Kartikey Pradhan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Gary A. Hooker, Thomas D. Reese, Keara Kelly Roethke
Hearing Site: San Francisco, CA
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| 20-00010 | 11/06/2020 | Claimant(s): Roberto Trejo
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Client One Securities LLC
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
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| 20-00910 | 09/30/2020 | Claimant(s): Securities America.
Claimant Lawyers(s): Chad Weaver
Respondent(s): Elliott Cox
Respondent Lawyers(s): Elliott Charles Cox
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
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| 19-02884 | 03/04/2020 | Claimant(s): Securities America.
Claimant Lawyers(s): Chad Weaver
Respondent(s): Ryan Kaufman
Respondent Lawyers(s): Ryan Thomas Kaufman
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
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| 18-03982 | 05/28/2019 | Claimant(s): Ting O'Connor
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
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| 18-00830 | 01/11/2019 | Claimant(s): Richard Del Monte
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Securities America.
Respondent Lawyers(s): Chad E. Weaver
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
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