| 22-02405 | 03/20/2024 | Claimant(s): Kwesi Buabeng
Claimant Lawyers(s): Robert Savage
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Lawrence R. Mills, Mary Mackey, Anna Arcellana Matheson
Hearing Site: San Francisco, CA
|  | $0 |
| 23-01722 | 03/20/2024 | Claimant(s): William Perera
Claimant Lawyers(s): William Rohan Harin Perera
Respondent(s): Vista Point Advisors
Respondent Lawyers(s): Julie A. Totten
Arbitrator(s): Mitchell S. Ostwald, Jonathan H. Krotinger, Wendi Lee Eckardt
Hearing Site: San Francisco, CA
| | |
| 23-03433 | 03/19/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Teresa J. Thong
Respondent(s): Sona Rikhye
Respondent Lawyers(s): Sona Rikhye
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | |
| 18-03632 | 03/11/2024 | Claimant(s): J. Spencer Dryden Trust, T. Inez Dryden Trust
Claimant Lawyers(s): Charles Ferguson
Respondent(s): Catherine Angle, Darlene Dye, Raymond James & Associates., Raymond James Financial Services., Marc Miller, Mark Rockower, Phyllis K. Dryden Living Trust
Respondent Lawyers(s): Charles Ferguson, Michael S. Lamont, Peter S. Fruin, Phyllis Kay Dryden
Arbitrator(s): Philip Aaron Tymon, Alden Sharp Adkins, Scott Dodson
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504 |
| 23-01488 | 03/01/2024 | Claimant(s): Thomas Smith
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Edward Jones
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | |
| 23-02756 | 03/01/2024 | Claimant(s): Damian Hedley
Claimant Lawyers(s): Randi Perry Spallina
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 23-02349 | 03/01/2024 | Claimant(s): Eugene Lash
Claimant Lawyers(s): Eugene H Lash
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ellen M. Murphy
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | $51,698 |
| 23-02654 | 02/22/2024 | Claimant(s): Kathleen Adams
Claimant Lawyers(s): Kathleen Adams
Respondent(s): Daniel Needler, U.S. Bancorp Investments.
Respondent Lawyers(s): Shawn Larsen-Bright
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 23-01421 | 02/15/2024 | Claimant(s): Amy Wasser
Claimant Lawyers(s): Harris Freedman
Respondent(s): Edward Jones
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | |
| 23-02406 | 02/15/2024 | Claimant(s): Jeanmarie LaBonte
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Briana Al Taqatqa
Arbitrator(s): Ronald Chun
Hearing Site: San Francisco, CA
| | |
