| 22-00990 | 05/17/2024 | Claimant(s): Diane Jones, Huxley Richardson, Larry Marple, William Struwe
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Thomas J. LoSavio, Philip Aaron Tymon, Glenn Paul Gilbert
Hearing Site: San Francisco, CA
|  | $0 |
| 22-00037 | 05/10/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Joseph Seidler
Respondent Lawyers(s): Mark Thomas
Arbitrator(s): D. Peter Gleichenhaus, Meredith F. Hoffman, Enrique Colin
Hearing Site: San Francisco, CA
| | |
| 23-01431 | 05/07/2024 | Claimant(s): John Bostaph
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): WAMU Investments., Wells Fargo Investments
Respondent Lawyers(s): Geoff Beckham, Registered Agent
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | |
| 22-00992 | 05/01/2024 | Claimant(s): Estate of Donald W. Gomez
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Morgan Stanley, Katie Beres
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Ralph A. Cotton, Scott Dodson, John Timothy Nardell
Hearing Site: San Francisco, CA
| | $0 |
| 22-00898 | 04/25/2024 | Claimant(s): Margaret van Krieken, Roeland van Krieken
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Herb Schwartz, Philip Aaron Tymon, Dennis Markham Smith
Hearing Site: San Francisco, CA
| | Expungement |
| 23-00420 | 04/24/2024 | Claimant(s): Leonid Krimotat, Sima Bergelson
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Kevin C. Coleman
Hearing Site: San Francisco, CA
| | $0 |
| 23-02331 | 04/17/2024 | Claimant(s): Mark Frederick
Claimant Lawyers(s): Brian Luther
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Kenneth Paul Strongman
Hearing Site: San Francisco, CA
| | |
| 23-01437 | 04/05/2024 | Claimant(s): Ellice Papp
Claimant Lawyers(s): Harris Freedman
Respondent(s): Prudential Equity Group, Lehman Brothers Inc
Respondent Lawyers(s): Christopher K. Kiplok, Jennifer E. Novoselsky
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 23-00196 | 03/26/2024 | Claimant(s): Shian-Chang Yu
Claimant Lawyers(s): Kamal Ghali
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Vivian L. Kral, Philip Aaron Tymon, Ann Elizabeth Sarli
Hearing Site: San Francisco, CA
| | $1,491,020 |
| 23-01369 | 03/21/2024 | Claimant(s): Sarra He
Claimant Lawyers(s): Sarra He
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Mitchell S. Ostwald
Hearing Site: San Francisco, CA
| | $10,303 |
