| 18-00481 | 10/02/2018 | Claimant(s): Mark Lazar
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Salt Lake City, UT
| | |
| 18-00034 | 09/13/2018 | Claimant(s): Douglas Donnelly
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Matthew P. Fischer
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Seattle, WA
| | |
| 17-01547 | 05/24/2018 | Claimant(s): Peter Lawrence, The Norma S. Pappas Trust U/A 7/12/1993
Claimant Lawyers(s): Jeremy Scott Hyndman
Respondent(s): Bao Vu, TD Ameritrade., Steve Kim
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): Helen Marinak Blohm, Dean J. Dietrich, Bradley C. Mitchell
Hearing Site: San Francisco, CA
|  | $0 |
| 17-02678 | 05/14/2018 | Claimant(s): Brian Evans
Claimant Lawyers(s): Brian Keith Evans
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Helen Marinak Blohm, William W. Haskell, Gregory M. Scanlon
Hearing Site: Honolulu, HI
| | Dismissed by Rule 12206 |
| 17-00121 | 11/02/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kevin J. Woods
Respondent(s): Eric DeMarcus
Respondent Lawyers(s): Eric Grant DeMarcus
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | |
| 15-00311 | 11/02/2015 | Claimant(s): Margaret Lucas
Claimant Lawyers(s): John R. Bobay
Respondent(s): Manning & Napier Investor Services.
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Helen Marinak Blohm, Debra Brothers Self, Philip Ho
Hearing Site: San Francisco, CA
| | $0 |
| 14-02550 | 03/30/2015 | Claimant(s): Arthur Cooper, David Mcmanus
Claimant Lawyers(s): Elaine M. Rice, George L. Guerra
Respondent(s): Securities America.
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Helen Marinak Blohm, Laurel Littman Gothelf, Cynthia B. Stone
Hearing Site: Los Angeles, CA
| | |
| 14-02343 | 12/26/2014 | Claimant(s): Jeffrey Goodman
Claimant Lawyers(s): Jeffrey A Goodman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Honolulu, HI
| | $0 |
| 14-02391 | 11/21/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Robert Altemus
Respondent Lawyers(s): Robert Joseph Altemus
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | |
| 09-03572 | 09/05/2014 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald Kane
Respondent(s): Arthur Mitsutome
Respondent Lawyers(s): Jacqueline DeSouza
Arbitrator(s): Helen Marinak Blohm, Robin Lynn Berry, Rahul K. Surana
Hearing Site: San Francisco, CA
| | |
