| 22-01757 | 12/23/2022 | Claimant(s): Mary Cimmet
Claimant Lawyers(s): Mary Lyon Cimmet
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Mary Kathleen Mackey
Hearing Site: San Francisco, CA
|  | $225 |
| 21-00063 | 12/23/2022 | Claimant(s): Kimberly Scherer
Claimant Lawyers(s): Kimberly K. Scherer
Respondent(s): Christopher Carolan, Morgan Stanley, John Palumbo
Respondent Lawyers(s): Jeff Palmer
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | Expungement |
| 22-00549 | 12/20/2022 | Claimant(s): Dennis Nakamura, Rurie Nakamura, The Rurie Nakamura Rollover IRA, 1994 Akira & Rurie Nakamura Family Trust, The Akira Nakamura Bypass Trust, The Rurie Nakamura Marital Trust
Claimant Lawyers(s): Dennis M. Nakamura
Respondent(s): Kevin McGregor, Avantax Advisory Services., Avantax Investment Services., Avantax Wealth Management., H.D. Vest Advisory Services Inc.
Respondent Lawyers(s): Natalie P. Vance
Arbitrator(s): James R. Dickson, Shawn Ridgell, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | $0 |
| 22-01513 | 12/19/2022 | Claimant(s): Sussan Hashemi
Claimant Lawyers(s): Sussan Hashemi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | $0 |
| 20-02029 | 12/09/2022 | Claimant(s): Shannon Zoller
Claimant Lawyers(s): Linda D Friedman
Respondent(s): Daniel Veatch, Jonathan Jameson, Reidan Cruz, Robert Hofeditz, GCA Advisors
Respondent Lawyers(s): Diane M. Doolittle
Arbitrator(s): David H. S. Commins, Alden Sharp Adkins, Thomas Arthur Cohen
Hearing Site: San Francisco, CA
| | |
| 21-00765 | 11/29/2022 | Claimant(s): Alan Chambers, Lisa Chambers
Claimant Lawyers(s): Robert D. Loventhal
Respondent(s): Pershing LLC, Rodney Rollins, Next Financial Group.
Respondent Lawyers(s): Edward Zusman
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | Expungement |
| 22-01296 | 11/21/2022 | Claimant(s): Kevin Sanchez
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart Rebish
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 22-01006 | 11/16/2022 | Claimant(s): Sangeeta Singh
Claimant Lawyers(s): Sangeeta D Singh
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
| | |
| 22-01071 | 11/08/2022 | Claimant(s): Frank Gavidia
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | |
| 21-02967 | 10/20/2022 | Claimant(s): Amy Diehl
Claimant Lawyers(s): James A. Hughes
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Emma C. Tomsick
Arbitrator(s): Ann Elizabeth Sarli
Hearing Site: San Francisco, CA
| | |
