| 22-00243 | 02/17/2023 | Claimant(s): Michele Vitarelli
Claimant Lawyers(s): Andrei Armas
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
|  | $29,756 |
| 22-00844 | 02/15/2023 | Claimant(s): Philip Wohl
Claimant Lawyers(s): Phil Wohl
Respondent(s): Ron Lissak, Catapult Advisors LLC
Respondent Lawyers(s): Ron Matthew Lissak
Arbitrator(s): Kevin C. Coleman, Wrally John Dutkiewicz, Jonathan Polland
Hearing Site: San Francisco, CA
| | |
| 22-01150 | 02/07/2023 | Claimant(s): Patric Stibbe
Claimant Lawyers(s): Patric Stibbe
Respondent(s): T3 Trading Group
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): John J. Flynn, David I. Levine, Timothy P. Bogan
Hearing Site: San Francisco, CA
| | |
| 22-00465 | 02/02/2023 | Claimant(s): Jennifer Johnston
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
| | |
| 22-01138 | 01/30/2023 | Claimant(s): Jason Lee
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 22-00525 | 01/24/2023 | Claimant(s): John Zhang
Claimant Lawyers(s): Zachary Morse
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 21-02374 | 01/17/2023 | Claimant(s): Allen Wagner
Claimant Lawyers(s): Allen B. Wagner
Respondent(s): Kelly Behunin, Fidelity Brokerage Services LLC, Peter Lee, Puja Aggarwal, Robert Burge, FMR, Fidelity Personal & Workplace Advisors, Strategic Advisers LLC
Respondent Lawyers(s): Casey W. Jones, Noah D. Sorkin
Arbitrator(s): Mary Margaret Bush, Philip Aaron Tymon, Diane Duvall
Hearing Site: San Francisco, CA
| | Expungement |
| 22-02013 | 01/05/2023 | Claimant(s): Thomas Bakker
Claimant Lawyers(s): Thomas Bakker
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Ronald Chun
Hearing Site: San Francisco, CA
| | $0 |
| 20-02213 | 12/30/2022 | Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney Financing LL
Claimant Lawyers(s): Shannon L McDougald
Respondent(s): Neil Gavande
Respondent Lawyers(s): Bryan T. Forman
Arbitrator(s): Linda P. Drucker, Val D. Hornstein, Thomas Arthur Cohen
Hearing Site: San Francisco, CA
| | |
| 21-01228 | 12/23/2022 | Claimant(s): Steve Heng
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Edward B. Lozowicki, Della Stein, Robert W Hillman
Hearing Site: San Francisco, CA
| | |
