| 24-00565 | 11/26/2024 | Claimant(s): J Mckelvy
Claimant Lawyers(s): Brian Luther
Respondent(s): Morgan Stanley, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, Jeffrey P. Palmer
Arbitrator(s): Richard H. Potter, Thomas R. Dreiling, Kenneth W. Gosliner
Hearing Site: San Francisco, CA
| | |
| 22-01664 | 11/22/2024 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Daniella Rand
Respondent Lawyers(s): Daniella R. Rand
Arbitrator(s): Anita Rae Shapiro, Martin Laeuchli, Edward B. Lozowicki
Hearing Site: San Francisco, CA
| | |
| 23-02462 | 11/04/2024 | Claimant(s): George Miller, Janet McKinley
Claimant Lawyers(s): Tyson C Redenbarger
Respondent(s): Samuel Schoner, First Republic Securities Company
Respondent Lawyers(s): E. Jeffrey Banchero, Mark L. Parmelee
Arbitrator(s): Philip Aaron Tymon, Gary S. DeWeese, Jonathan Polland
Hearing Site: San Francisco, CA
|  | Expungement |
| 23-02895 | 10/08/2024 | Claimant(s): Shawn Spellacy
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Saad Rahmouni Idrissi
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 22-00049 | 10/07/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Gary Cattich
Respondent Lawyers(s): Mark C. Thomas
Arbitrator(s): Arocles Aguilar, Eduardo Barocio, Christian Arthur Zrull
Hearing Site: San Francisco, CA
| | |
| 23-00656 | 09/27/2024 | Claimant(s): Bing Fong Ma, Carol Tam, Charles Karnavy, Christine Tai, Craig Hansen, Hao Fang, Ilaria Turner, John Pink, Julie Chou, Shui-Man Tong, Shun-Yee Perng, Sourav Dutt, Sun Su Qin Baker, Tin-Na Kan
Claimant Lawyers(s): Adam B. Wolf
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Adam Pollet
Arbitrator(s): Darryl J. Horowitt, Grace Sarkis Noubar Seferian, Colleen Honigsberg
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206(b) |
| 24-00214 | 09/10/2024 | Claimant(s): Olawale Kajopaiye
Claimant Lawyers(s): Olawale Kajopaiye
Respondent(s): PFM Fund Distributors.
Respondent Lawyers(s): Briana Al Taqatqa
Arbitrator(s): Minnie Loo, Daniel J. Lind, William W. Haskell
Hearing Site: San Francisco, CA
| | |
| 23-02620 | 09/09/2024 | Claimant(s): Rongke Lin
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Blackrock Investments
Respondent Lawyers(s): Rachel Capler
Arbitrator(s): Mitchell S. Ostwald, Thomas Arthur Cohen, Anne Michaels Seavey
Hearing Site: San Francisco, CA
| | |
| 22-01977 | 09/04/2024 | Claimant(s): Ravdeep Bhasin
Claimant Lawyers(s): Ravdeep Singh Bhasin
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): John J. Fitzpatrick, Carol Ann Jensen, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | |
| 23-02824 | 08/09/2024 | Claimant(s): Mychael Nguyen
Claimant Lawyers(s): Harris Freedman
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Andrew S. Azarmi
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
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