| 15-02041 | 12/24/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Michael Hampton
Respondent Lawyers(s): Michael Dennis Hampton
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
| | |
| 15-01539 | 12/21/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Kristin Tuchman
Respondent Lawyers(s): Kristin A. Tuchman
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 14-00306 | 12/02/2015 | Claimant(s): Robert Ritter
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Benjamin W. White
Arbitrator(s): Michael G. Clark, Dean J. Dietrich, Bruce Swartout
Hearing Site: San Francisco, CA
| | |
| 13-03071 | 12/02/2015 | Claimant(s): Genesis Venture Capital Corporation, S.E.A. Land Development
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): TD Ameritrade., Thinkorswim.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Isidoro Berkman, Sterling N. Frost, Douglas J. Pavese
Hearing Site: San Francisco, CA
|  | $0 |
| 14-03448 | 11/17/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Steven Spitts
Respondent Lawyers(s): Steven Craig Spitts
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | |
| 14-02264 | 11/12/2015 | Claimant(s): JSF Inv L.P.
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): John P. Wilson, George King, Vivian L. Kral
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 14-02314 | 11/10/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julie L. Taylor
Respondent(s): Kenneth Winn
Respondent Lawyers(s): Kenneth Allen Winn
Arbitrator(s): Carlos Richard Mangum, Thomas D. Reese, Fern M. Laethem
Hearing Site: San Francisco, CA
| | |
| 14-01086 | 11/05/2015 | Claimant(s): Kostantina Bourdev
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey A. Wortman
Arbitrator(s): Richard L. Rubin, Robert Mallin Hirsch, Roger Gilbert
Hearing Site: San Francisco, CA
| | |
| 13-03250 | 11/05/2015 | Claimant(s): Alexandria Nicolai, Jeffrey Nicolai, Jennifer Tiscornia-Steere, Katherine Nicolai, Mary Tiscornia, Michael Nicolai, Nicholas Toussaint, The San Francisco Gravel Co. Inc. Profit, The Nicholas & Susan Toussaint Trust
Claimant Lawyers(s): Jeffrey M. Nicolai
Respondent(s): Wedbush Securities Inc., Kevin Scarpelli
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Donald S. Green, Norman S. Nayfach, Robert James Wilkie
Hearing Site: San Francisco, CA
| | $813,475 |
| 15-00764 | 11/03/2015 | Claimant(s): Monetary Management Corporation
Claimant Lawyers(s): Stevenson Browne
Respondent(s): Bats Trading.
Respondent Lawyers(s): Bryan Upp
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
| | $0 |
