| 21-00023 | 09/15/2021 | Claimant(s): Grant Cleghorn, Stephen Saeta
Claimant Lawyers(s): Zachary Morse
Respondent(s): Parnassus Funds Distributor
Respondent Lawyers(s): Maria L. Kreiter
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 20-02793 | 09/09/2021 | Claimant(s): Robert Ryan
Claimant Lawyers(s): Zachary Morse
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | |
| 20-01759 | 08/31/2021 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): George Guerra
Respondent(s): Amy Zwaan
Respondent Lawyers(s): James H. Wilkins
Arbitrator(s): Andrew R. Epstein, Lester Friedman, John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 20-02209 | 08/31/2021 | Claimant(s): Nirmada Kaufman, Nirmada Lauren Ann Kaufman Rev. Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Morgan Stanley, Peter Waterloo
Respondent Lawyers(s): Kathleen Salvaty
Arbitrator(s): Clifford A. Threlkeld, Robert James Favole, Norman D Menegat
Hearing Site: San Francisco, CA
|  | Expungement |
| 20-02285 | 08/26/2021 | Claimant(s): Mathew Schweifler
Claimant Lawyers(s): Harry Meyer
Respondent(s): Brokersxpress LLC
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 20-03046 | 08/25/2021 | Claimant(s): Corey Daniel
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia Cowart
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 20-01987 | 08/25/2021 | Claimant(s): Karin Von Burg
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Lloyd R. Schwed
Arbitrator(s): Joseph C. Roberts, Laurel Littman Gothelf, Gary H. Kahn
Hearing Site: San Francisco, CA
| | $0 |
| 21-00071 | 08/10/2021 | Claimant(s): Barbara Heaton
Claimant Lawyers(s): Erika Binnix
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 20-02810 | 08/09/2021 | Claimant(s): Brannan Vaughan
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 21-00646 | 08/05/2021 | Claimant(s): Erin Elskes, Javier Sanchez Nieto
Claimant Lawyers(s): Erin E Elskes, Javier Sanchez Nieto
Respondent(s): Amy Blodgett, Ameritas Advisory Services
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $20,703 |
