| 15-02765 | 06/19/2017 | Claimant(s): Jack Paich
Claimant Lawyers(s): Christopher P. Mader
Respondent(s): Cory BurnellL Financial LLC, BluePrint Wealth Partners, Interactive Brokers LLC
Respondent Lawyers(s): Edward Zusman, Jason O. Billy, Neil Baritz
Arbitrator(s): William Michael Samsel, Philip Aaron Tymon, Anne M. Lawlor Goyette
Hearing Site: San Francisco, CA
|  | $160,000 |
| 15-01567 | 11/18/2016 | Claimant(s): Dennis Stefani
Claimant Lawyers(s): Glenn E. Tremper
Respondent(s): Edward Jones
Respondent Lawyers(s): Jennifer Porter
Arbitrator(s): Philip Aaron Tymon, David William Hickman, Charles Scott McClellan
Hearing Site: Helena, MT
| | Expungement |
| 15-01506 | 11/08/2016 | Claimant(s): Barbara Carney, Leroy Carney
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Donald S. Green, Jonathan H. Krotinger, Philip Aaron Tymon
Hearing Site: Reno, NV
| | $0 |
| 14-02204 | 07/12/2016 | Claimant(s): Latif Ziyar
Claimant Lawyers(s): Brian N. Folland
Respondent(s): Jerry Lawless, Investment Centers Of America.
Respondent Lawyers(s): Jeffrey E. Fields
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | $4,550 |
| 13-01889 | 09/16/2015 | Claimant(s): Cliff Shum
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Edward Jones
Respondent Lawyers(s): Will P. Riffelmacher
Arbitrator(s): Philip Aaron Tymon, Homer L. Davis, Gary Kostow
Hearing Site: San Francisco, CA
| | |
| 13-01824 | 11/13/2014 | Claimant(s): George Carson, George R. Carson, DDS,PC Profit Sharing
Claimant Lawyers(s): John G. Crist
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): William J. Bender, Philip Aaron Tymon, Ronald E. Lorentsen
Hearing Site: Helena, MT
| | Expungement |
| 14-01607 | 10/15/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Brian DeWitt, Mila DeWitt
Respondent Lawyers(s): Brian L. DeWitt
Arbitrator(s): Linda M. McCoy, E. Duane Stephens, Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | Expungement |
| 13-01323 | 10/15/2014 | Claimant(s): Mark Manoogian
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors, Jim Karas
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | Expungement |
| 13-02209 | 10/03/2014 | Claimant(s): Carol Humphries, Wilson Humphries
Claimant Lawyers(s): Brian D. Miller, Mitchell S. Ostwald
Respondent(s): Rocco Cortese, Tomas Velken, Sigma Financial Corporation
Respondent Lawyers(s): Avi Wagner, Jonathan M. Sterling
Arbitrator(s): Barbara M. Anscher, Philip Aaron Tymon, Nancy A. Yonge
Hearing Site: San Francisco, CA
| | Expungement |
| 13-01135 | 07/22/2014 | Claimant(s): Janelle Hansen, Janelle Hansen Trust
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): John Ryan Gustafson
Arbitrator(s): Lester Friedman, Philip Aaron Tymon, Ronald J. Vernali
Hearing Site: San Francisco, CA
| | Expungement |
