| 18-01790 | 04/11/2019 | Claimant(s): Frank Auyeung
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Wells Fargo Clearing Services, Wells Fargo Investments, Banc of America Investment Services Inc.
Respondent Lawyers(s): Geoffrey S. Beckham, Randi Perry Spallina
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 18-02775 | 04/11/2019 | Claimant(s): Scott Hultsman
Claimant Lawyers(s): Amir Tadjedin
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Timnothy A. Menezes
Arbitrator(s): Linda M. McCoy, Peter H. Daly, John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 17-02289 | 04/09/2019 | Claimant(s): Diane Noia, Michael Noia
Claimant Lawyers(s): Deanna C Besbekos-LaPage
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
|  | Expungement |
| 16-02461 | 04/08/2019 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Jon Gegenheimer
Respondent Lawyers(s): Daniel Green
Arbitrator(s): Minnie Loo, Lawrence R. Mills, A. James Oakes
Hearing Site: San Francisco, CA
| | |
| 18-03004 | 04/08/2019 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Shannon M. Wheaton
Respondent(s): Adam Govani
Respondent Lawyers(s): Adam Bashir Govani
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | |
| 18-01177 | 04/03/2019 | Claimant(s): Pamela Palmer
Claimant Lawyers(s): Steven Winick
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Mary Suhr
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Isidoro Berkman, William Michael Samsel, Steven Akiba Swernofsky
Hearing Site: San Francisco, CA
| | $127,000 |
| 18-00121 | 04/02/2019 | Claimant(s): Mirchandani-Xu FLT
Claimant Lawyers(s): Michael Hill
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): John J. Fitzpatrick, Jon H. Sylvester, Adrian Alec Colley
Hearing Site: San Francisco, CA
| | $0 |
| 17-02461 | 03/08/2019 | Claimant(s): Bradley Glasman
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Geoffrey S. Beckham
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 18-01667 | 02/20/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Mauricio Salvador Beugelmans
Respondent(s): Linda Chen, Robert Chen
Respondent Lawyers(s): Linda T. Chen, Robert K. Chen
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Alan Richard Carlisle
Hearing Site: San Francisco, CA
| | $0 |
| 18-00768 | 02/20/2019 | Claimant(s): Joseph Caselle
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Randi Spallina
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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