Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 22-00898 | 04/25/2024 | Claimant(s): Margaret van Krieken, Roeland van Krieken Claimant Lawyers(s): Marc Fitapelli Respondent(s): Morgan Stanley Respondent Lawyers(s): Theodore R. Snyder Arbitrator(s): Herb Schwartz, Philip Aaron Tymon, Dennis Markham Smith Hearing Site: San Francisco, CA |  | Expungement |
| 23-03433 | 03/19/2024 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Teresa J. Thong Respondent(s): Sona Rikhye Respondent Lawyers(s): Sona Rikhye Arbitrator(s): Herb Schwartz Hearing Site: San Francisco, CA | ||
| 21-00063 | 12/23/2022 | Claimant(s): Kimberly Scherer Claimant Lawyers(s): Kimberly K. Scherer Respondent(s): Christopher Carolan, Morgan Stanley, John Palumbo Respondent Lawyers(s): Jeff Palmer Arbitrator(s): Herb Schwartz Hearing Site: San Francisco, CA | | Expungement |
| 21-01278 | 12/21/2021 | Claimant(s): Hajime Amaya Claimant Lawyers(s): Samuel B. Edwards Respondent(s): Unionbanc Investment Services Respondent Lawyers(s): Neal S. Robb Arbitrator(s): Herbert Liberman, Herb Schwartz, Peter H. Daly Hearing Site: San Francisco, CA | | Dismissed by Rule 12206 |
| 18-04020 | 03/08/2021 | Claimant(s): Richard Trust Claimant Lawyers(s): Richard Trust Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Herb Schwartz, Daniel M. Yamshon, Rosalind Ramsey Tyson Hearing Site: San Francisco, CA | | $298,400 |
| 20-01224 | 09/11/2020 | Claimant(s): Chester Kuong Claimant Lawyers(s): Chester Kuong Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Herb Schwartz Hearing Site: San Francisco, CA | | $125 |
| 20-00738 | 07/06/2020 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Timothy N. Will Respondent(s): Riza Hernandez Respondent Lawyers(s): Riza Khalil Hernandez Arbitrator(s): Herb Schwartz Hearing Site: San Francisco, CA | ||
| 18-03004 | 04/08/2019 | Claimant(s): Waddell & Reed Claimant Lawyers(s): Shannon M. Wheaton Respondent(s): Adam Govani Respondent Lawyers(s): Adam Bashir Govani Arbitrator(s): Herb Schwartz Hearing Site: San Francisco, CA | ||
| 18-02270 | 01/23/2019 | Claimant(s): Leila Gough Claimant Lawyers(s): Harris Freedman Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Geoffrey Beckham Arbitrator(s): Herb Schwartz Hearing Site: San Francisco, CA | ||
| 18-02196 | 01/09/2019 | Claimant(s): Kevin Moran Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Advisor Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Herb Schwartz Hearing Site: San Francisco, CA |