| 20-01482 | 12/23/2020 | Claimant(s): Joanna Moran
Claimant Lawyers(s): Christina Z. Vourakis
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David H. Feldstein
Arbitrator(s): Philip Aaron Tymon
Hearing Site: Reno, NV
| | |
| 20-00718 | 11/10/2020 | Claimant(s): Michael Matthews
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | |
| 19-01505 | 08/17/2020 | Claimant(s): Joshua Travis Anue Trust, Tenaya Laurel Anue Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Robert James Wilkie
Hearing Site: San Francisco, CA
|  | $189,009 |
| 19-02595 | 07/02/2020 | Claimant(s): John Baughman
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | |
| 18-02379 | 03/12/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Kevin Woods
Respondent(s): David Krikorian
Respondent Lawyers(s): Melinda Jane Steuer
Arbitrator(s): Philip Aaron Tymon, Kevin C. Coleman, Meredith F. Hoffman
Hearing Site: San Francisco, CA
| | |
| 19-00141 | 02/20/2020 | Claimant(s): DeAnnah L Thomas, Richard M Thomas
Claimant Lawyers(s): John Garner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeffrey s. Jacobi
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | $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 |
| 19-01206 | 11/01/2019 | Claimant(s): Mark Elston
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Philip Aaron Tymon
Hearing Site: Reno, NV
| | |
| 18-04367 | 08/29/2019 | Claimant(s): Aaron Olson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Igor V. Stadnik
Arbitrator(s): Philip Aaron Tymon
Hearing Site: Seattle, WA
| | |
| 18-03977 | 08/15/2019 | Claimant(s): Ting O'Connor
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Pyramid Financial Corp.
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
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