| 15-01282 | 06/21/2016 | Claimant(s): Jianhua Lin
Claimant Lawyers(s): Jianhua Lin
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Ivy Okoniewski
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | |
| 15-02148 | 06/07/2016 | Claimant(s): Ruthe Gomez, Advisory Financial Consultants.
Claimant Lawyers(s): Christopher Mader
Respondent(s): John Lohmeier, Rebecca Townsend
Respondent Lawyers(s): John Harold Lohmeier, Rebecca Anne Townsend
Arbitrator(s): Charles E. Farnsworth
Hearing Site: San Francisco, CA
| | |
| 15-00756 | 05/06/2016 | Claimant(s): Iraj Zandi
Claimant Lawyers(s): Michael S. Treppa
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
|  | $30,225 |
| 14-01724 | 04/26/2016 | Claimant(s): Evelyn Johnson, Feliciano Dizon, Frank DiGrande, Harriett Eubanks, Marina Bautista, Trilby DiGrande
Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers
Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard McCollam
Respondent Lawyers(s): Paul W. Thomas, Scott L. Metzger, Theodore J. Sawicki
Arbitrator(s): Joseph H. Sturdivant, Amy Seltzer, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $91,908 |
| 15-02909 | 04/18/2016 | Claimant(s): Christopher Coghlan
Claimant Lawyers(s): Patrick R Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 15-02022 | 04/18/2016 | Claimant(s): The Weber Family Trust
Claimant Lawyers(s): Sidney Joel Weber
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
| | $25 |
| 12-03692 | 04/11/2016 | Claimant(s): Herbert Madan, Herbert S. Madan Revocable Trust UAD Apr
Claimant Lawyers(s): John D. Singer
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Jen Machlin
Arbitrator(s): John P. Wilson, Linda M. McCoy, Kenneth W. Gosliner
Hearing Site: San Francisco, CA
| | Expungement |
| 15-01969 | 04/06/2016 | Claimant(s): V. Threlkeld
Claimant Lawyers(s): Gordon C. Young
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Gabriel Z. Reynoso
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 15-00134 | 03/24/2016 | Claimant(s): Yoav Karni
Claimant Lawyers(s): Ryan T. Dunn
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Dave Lenny
Arbitrator(s): Carl B. Noelke
Hearing Site: San Francisco, CA
| | |
| 15-01634 | 03/16/2016 | Claimant(s): Michael L. Kennedy 1998 Trust
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Nicole Lomibao
Arbitrator(s): John J. Flynn, Robert H. Cornell, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
