| 20-00627 | 10/09/2020 | Claimant(s): Daniel Chang, Steve Kim
Claimant Lawyers(s): Adam C. Pollet
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Alicia L. Dragoo
Arbitrator(s): Gary William England, Mary Margaret Bush, Shawn Ridgell
Hearing Site: San Francisco, CA
| | |
| 20-01011 | 10/05/2020 | Claimant(s): Chiu-ni Wang
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Ralph A. Cotton
Hearing Site: San Francisco, CA
| | |
| 20-00910 | 09/30/2020 | Claimant(s): Securities America.
Claimant Lawyers(s): Chad Weaver
Respondent(s): Elliott Cox
Respondent Lawyers(s): Elliott Charles Cox
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 20-01224 | 09/11/2020 | Claimant(s): Chester Kuong
Claimant Lawyers(s): Chester Kuong
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
|  | $125 |
| 08-03708 | 09/09/2020 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Dane Brinkman
Respondent Lawyers(s): Daren R. Brinkman
Arbitrator(s): Carlos Richard Mangum, James R. Dickson, Linda P. Drucker
Hearing Site: San Francisco, CA
| | |
| 19-00904 | 08/31/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Robert B Ericson
Respondent(s): Mark Ervin
Respondent Lawyers(s): Brennan H. Moss
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | |
| 20-00470 | 08/27/2020 | Claimant(s): Kevin Webster
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Michael Giovannelli, Yousuf Saljooki
Respondent Lawyers(s): Michael John Giovannelli, Yousuf Saljooki
Arbitrator(s): Jon H. Sylvester
Hearing Site: San Francisco, CA
| | $121,292 |
| 19-03822 | 08/17/2020 | Claimant(s): Elyssa Verzosa
Claimant Lawyers(s): Jessica Calloway
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Barbara L. Johnson
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
| | |
| 19-01505 | 08/17/2020 | Claimant(s): Joshua Travis Anue Trust, Tenaya Laurel Anue Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Robert James Wilkie
Hearing Site: San Francisco, CA
| | $189,009 |
| 19-03650 | 07/29/2020 | Claimant(s): Thane Walton
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Mutual Service Corporation
Respondent Lawyers(s): David Freniere
Arbitrator(s): William Michael Samsel
Hearing Site: San Francisco, CA
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