| 16-00720 | 01/31/2018 | Claimant(s): Jerry McMillon, Jerry A. McMillon Living Trust Under Agr
Claimant Lawyers(s): Mark A. Pruner
Respondent(s): Jason Jaffee, Wells Fargo Advisors, Wells Fargo Securities, John Lee, Wells Fargo Company
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Carlos Richard Mangum, Dean J. Dietrich, Arocles Aguilar
Hearing Site: San Francisco, CA
|  | Expungement |
| 17-00405 | 01/12/2018 | Claimant(s): Daniel Ahmad
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation, QA3 Financial Corp.
Respondent Lawyers(s): Chad Weaver, Stephen K. Wild
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 15-02707 | 12/22/2017 | Claimant(s): Bonnie Bolle, Robin Richardson, Estate of Byron Bolle
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Carlos Miranda, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Ralph A. Cotton, Philip Ho, Robert M. Smith
Hearing Site: San Francisco, CA
| | $685,580 |
| 16-01842 | 12/19/2017 | Claimant(s): David Bennette
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Eric M. Steinert
Arbitrator(s): Elmo E. Wedderburn, Michael Lancaster Garcia, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | |
| 17-00516 | 12/19/2017 | Claimant(s): Michael Treinen, Sandra Dalton, William Bahney
Claimant Lawyers(s): Amy B. Bard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 17-00087 | 11/24/2017 | Claimant(s): Michael Rom
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Philip Steele, First Financial Services LLC
Respondent Lawyers(s): Jeffrey L. Fillerup
Arbitrator(s): Douglas W. Oldfield, Barbara M. Anscher, Jeffrey Scott Winaker
Hearing Site: San Francisco, CA
| | |
| 16-02314 | 11/22/2017 | Claimant(s): Robert Leech, Robert W. Leech IRA, The Leech Family Trust
Claimant Lawyers(s): Tom Leech
Respondent(s): Wells Fargo Advisors, Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper, Michael Naccarato
Arbitrator(s): John J. Flynn, Kevin C. Coleman, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | Expungement |
| 16-03141 | 11/20/2017 | Claimant(s): Michael Destro
Claimant Lawyers(s): Emily Knoles
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Dean J. Dietrich, Timothy P. Bogan, Jennifer Schwartz
Hearing Site: San Francisco, CA
| | |
| 17-00511 | 11/17/2017 | Claimant(s): Bradley Barnblatt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Ian Ross
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | |
| 17-00941 | 11/14/2017 | Claimant(s): Joseph Seidler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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