| 20-00690 | 05/05/2022 | Claimant(s): Richard McCollam
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): John J. Flynn, William W. Haskell, Douglas J. Pavese
Hearing Site: San Francisco, CA
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| 20-03645 | 11/02/2021 | Claimant(s): Javier Ovalles
Claimant Lawyers(s): Javier Ovalles
Respondent(s): Transamerica Investors Securities Corp.
Respondent Lawyers(s): Misty A. Murray
Arbitrator(s): William W. Haskell, Arocles Aguilar, Douglas J. Pavese
Hearing Site: San Francisco, CA
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| 13-03071 | 12/02/2015 | Claimant(s): Genesis Venture Capital Corporation, S.E.A. Land Development
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): TD Ameritrade., Thinkorswim.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Isidoro Berkman, Sterling N. Frost, Douglas J. Pavese
Hearing Site: San Francisco, CA
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| 12-00910 | 11/25/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): James Lewis
Respondent Lawyers(s): Peter A. Cantwell
Arbitrator(s): Herb Schwartz, Mary Margaret Bush, Douglas J. Pavese
Hearing Site: Reno, NV
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| 11-01992 | 12/17/2012 | Claimant(s): Thomas Meagher
Claimant Lawyers(s): James L. Parks
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): David J. Reis
Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Douglas J. Pavese
Hearing Site: San Francisco, CA
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| 11-00633 | 06/25/2012 | Claimant(s): Ryan Romines
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Joseph Gavigan
Respondent Lawyers(s): Joseph T. Gavigan
Arbitrator(s): Reed H. Bement, William Ziering, Douglas J. Pavese
Hearing Site: San Francisco, CA
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