| 17-00309 | 09/12/2017 | Claimant(s): Chad Staskall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Dean J. Dietrich
Hearing Site: Portland, OR
| | |
| 16-00100 | 09/12/2017 | Claimant(s): E. Clark
Claimant Lawyers(s): Thomas Clark
Respondent(s): John Francis, Maureen Bryan-Furgurson, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Howard R. Melamed, Tara A. LaClair, Thomas B. Snyder
Arbitrator(s): Peter H. Daly, Dean J. Dietrich, Marvin L. Watkins
Hearing Site: San Francisco, CA
|  | Settlement |
| 16-01461 | 08/11/2017 | Claimant(s): Kevin Swanton
Claimant Lawyers(s): Kevin R. Swanton
Respondent(s): Omar Hassan, PHX Financial.
Respondent Lawyers(s): Daniel Otoya, Omar Ibrahim Hassan
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504 |
| 16-02801 | 06/07/2017 | Claimant(s): Fred Schiffler
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Brent Porges, David Cannata, Brookstone Securities., Craig Scott Capital
Respondent Lawyers(s): Brent Morgan Porges, Craig Taddonio, David Charles Cannata, David W. Locy
Arbitrator(s): Dean J. Dietrich
Hearing Site: Boise, ID
| | $260,739 |
| 16-00852 | 03/02/2017 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): Andrew Spivey
Respondent Lawyers(s): Andrew Gary Spivey
Arbitrator(s): Dean J. Dietrich, Ralph L. Jacobson, Rahul K. Surana
Hearing Site: San Francisco, CA
| | |
| 16-01449 | 12/12/2016 | Claimant(s): Alden Fisher, Alyssa Fisher
Claimant Lawyers(s): Alden Fisher
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Timothy M. Huksey
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $914 |
| 15-00268 | 10/14/2016 | Claimant(s): Bradley Finegold
Claimant Lawyers(s): Albert M. Kun
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Thomas White
Respondent Lawyers(s): Spencer Persson
Arbitrator(s): Linda M. McCoy, Dean J. Dietrich, Brandon Keith Hemley
Hearing Site: San Francisco, CA
| | $0 |
| 16-00196 | 08/26/2016 | Claimant(s): Christopher Peters, E*Trade Securities LLC
Claimant Lawyers(s): Meredith F. Hoffman
Respondent(s): Mohammad Yazdi
Respondent Lawyers(s): Mohammad Yazdi
Arbitrator(s): Paul J. Dubow, Dean J. Dietrich, Kenneth Paul Strongman
Hearing Site: San Francisco, CA
| | Expungement |
| 14-03414 | 02/25/2016 | Claimant(s): Stephen Slocum
Claimant Lawyers(s): Stephen J. Slocum
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Herb Schwartz, Dean J. Dietrich, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $0 |
| 14-00306 | 12/02/2015 | Claimant(s): Robert Ritter
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Benjamin W. White
Arbitrator(s): Michael G. Clark, Dean J. Dietrich, Bruce Swartout
Hearing Site: San Francisco, CA
| | |
