| 16-03359 | 09/11/2019 | Claimant(s): Thomas Carney
Claimant Lawyers(s): William R. Lindsley
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Dean J. Dietrich, Mary H. Evans, Ann Elizabeth Sarli
Hearing Site: San Francisco, CA
| | |
| 18-02773 | 09/05/2019 | Claimant(s): Scott Hultsman
Claimant Lawyers(s): Amir Tadjedin
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Timothy A. Menezes
Arbitrator(s): James R. Dickson, Jonathan H. Krotinger, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 19-00905 | 08/30/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Robert B Ericson
Respondent(s): David Vigil
Respondent Lawyers(s): David Vigil
Arbitrator(s): Isidoro Berkman
Hearing Site: San Francisco, CA
| | |
| 19-00047 | 08/29/2019 | Claimant(s): Mark Wilburn
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 18-03914 | 08/23/2019 | Claimant(s): Clayton Holcomb
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
| | |
| 17-01674 | 08/22/2019 | Claimant(s): Richard Wagenfeld
Claimant Lawyers(s): Val D. Hornstein
Respondent(s): J.P. Morgan Securities, Securities America., Michael Long
Respondent Lawyers(s): Chad Weaver, Michael J. Charlillo
Arbitrator(s): Paul J. Dubow, Dean J. Dietrich, Jonathan Polland
Hearing Site: San Francisco, CA
|  | $0 |
| 18-03977 | 08/15/2019 | Claimant(s): Ting O'Connor
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Pyramid Financial Corp.
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | |
| 19-00142 | 08/15/2019 | Claimant(s): Sima Alefi
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | |
| 17-02146 | 08/06/2019 | Claimant(s): Richard McCollam
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Mary Price
Respondent Lawyers(s): Mary Kathryne Price
Arbitrator(s): Frank R Weaver, Peter H. Daly, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | Expungement |
| 18-00527 | 07/26/2019 | Claimant(s): Zoe Cordova-McCarthy, Liberty Lighting & Fixture Supply Co.
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Ameriprise Financial Services., Riversource Distributors.
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Brian Kimball
Hearing Site: San Francisco, CA
| | Expungement |
