| 19-00538 | 11/26/2019 | Claimant(s): Kent Kuhlmann
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 18-04007 | 11/07/2019 | Claimant(s): Waltraud Greathouse
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Kenneth Barroga, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Gary S. DeWeese
Hearing Site: San Francisco, CA
|  | $160,097 |
| 18-02071 | 11/07/2019 | Claimant(s): Rivette Family Trusts
Claimant Lawyers(s): Douglas W. Oldfield
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Kathryn J. Toronto, Gary Kostow, Ranjani Mohana
Hearing Site: San Francisco, CA
| | $0 |
| 19-00215 | 11/05/2019 | Claimant(s): Kenneth Ancell
Claimant Lawyers(s): Harris M. Freedman
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter Wheeler
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 18-04376 | 10/11/2019 | Claimant(s): Mark Richmond
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 19-00011 | 10/10/2019 | Claimant(s): Garret Morgan
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 19-00082 | 10/02/2019 | Claimant(s): Tom Tufts
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): First Standard Financial Company
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
| | $0 |
| 19-00216 | 09/30/2019 | Claimant(s): Clayton Shum
Claimant Lawyers(s): Harris M. Freedman
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jill Settlemyer
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 18-04051 | 09/25/2019 | Claimant(s): Tanya Coffeen
Claimant Lawyers(s): Mark A Tepper
Respondent(s): Raymond, James & Associates., D.A. Davidson & Co.
Respondent Lawyers(s): Elizabeth Lowery, Stanton A. Fears
Arbitrator(s): John Burritt McArthur
Hearing Site: San Francisco, CA
| | $69,554 |
| 19-00084 | 09/18/2019 | Claimant(s): Nicholas Economos
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Kenneth Paul Strongman
Hearing Site: San Francisco, CA
| | |
