| 22-02466 | 12/11/2023 | Claimant(s): Cordia Swanson
Claimant Lawyers(s): Cordia Swanson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Randy R. Maher, David L. Moran, Hugh James Anderson
Hearing Site: Las Vegas, NV
|  | Dismissed by Rule 12504(a)(6)(B) |
| 23-00414 | 11/16/2023 | Claimant(s): Marc Kreisberger
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Randy R. Maher
Hearing Site: Las Vegas, NV
| | |
| 18-01226 | 09/16/2022 | Claimant(s): Hisako Patten
Claimant Lawyers(s): Hisako Patten
Respondent(s): Craig Dock, Scottrade Inc., TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Randy R. Maher, Cynthia Cashman Makin, Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | Expungement |
| 22-00244 | 08/31/2022 | Claimant(s): Anthony Thurlow
Claimant Lawyers(s): Zachary Morse
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Randy R. Maher
Hearing Site: Las Vegas, NV
| | |
| 20-02086 | 06/15/2022 | Claimant(s): Shawn Parr, TTEE of Parr Family Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Herbert Liberman, Randy R. Maher, William Richard Espino
Hearing Site: San Diego, CA
| | Expungement |
| 21-01431 | 02/04/2022 | Claimant(s): John Czajkowski
Claimant Lawyers(s): Chrisitina Vourakis
Respondent(s): Securities America.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Jo-Ann C. Little, Randy R. Maher, Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
| | |
| 21-02458 | 02/02/2022 | Claimant(s): Patricia Mary Taylor Trust
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): Christopher Taylor, Kestra Investment Services
Respondent Lawyers(s): Craig Zafis, Richard A. D'Amura
Arbitrator(s): Thomas E Shuck, Randy R. Maher, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 19-03817 | 12/06/2021 | Claimant(s): D. Blankenship
Claimant Lawyers(s): Frances Menzer
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Robert L. Gonser
Arbitrator(s): David Sear, Randy R. Maher, Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 20-02984 | 06/14/2021 | Claimant(s): Bradley Cooperman
Claimant Lawyers(s): Frances Menzer
Respondent(s): WAMU Investments.
Respondent Lawyers(s): James H. David
Arbitrator(s): Randy R. Maher
Hearing Site: San Diego, CA
| | |
| 20-01514 | 12/03/2020 | Claimant(s): Sandeep Varma
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Randy R. Maher
Hearing Site: San Diego, CA
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