20-00455 | 07/03/2024 | Claimant(s): Christina Aitchison, Thomas Aitchison, Christina S. Aitchison IRA Account, Thomas M. Aitchison IRA Account, TM & CS Aitchison 1998 Revocable Trust Claimant Lawyers(s): Brandon S. Reif, Jon C. Furgison Respondent(s): Morgan Stanley, Jim Stephenson, Nicholas Rogers Respondent Lawyers(s): William D. Briendel Arbitrator(s): Ralph A. Cotton, Peter H. Daly, Kevin Francis Woodall Hearing Site: San Francisco, CA
| | Expungement |
22-00992 | 05/01/2024 | Claimant(s): Estate of Donald W. Gomez Claimant Lawyers(s): Melinda Jane Steuer Respondent(s): Morgan Stanley, Katie Beres Respondent Lawyers(s): Connor M. Trafton Arbitrator(s): Ralph A. Cotton, Scott Dodson, John Timothy Nardell Hearing Site: San Francisco, CA
| | $0 |
23-02244 | 02/01/2024 | Claimant(s): Arun Chayra Claimant Lawyers(s): Arun Chayra Respondent(s): Vanguard Marketing Corporation Respondent Lawyers(s): Matthew H. Ladner Arbitrator(s): Ralph A. Cotton Hearing Site: San Francisco, CA
| | $0 |
23-01177 | 11/13/2023 | Claimant(s): Chanh Truong Claimant Lawyers(s): Stephan Louviere Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Ralph A. Cotton Hearing Site: San Francisco, CA
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22-00951 | 07/28/2023 | Claimant(s): Holden Green Claimant Lawyers(s): Holden Green Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): Carlos E. Provencio Arbitrator(s): Ralph A. Cotton, William W. Haskell, Lowell H. Haky Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504/12212 |
20-03057 | 07/29/2021 | Claimant(s): Justin Bachman Claimant Lawyers(s): Chelsea Masters Respondent(s): Brokerbank Securities. Respondent Lawyers(s): Philip Wright Arbitrator(s): Ralph A. Cotton Hearing Site: San Francisco, CA
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19-01892 | 07/13/2021 | Claimant(s): Susan Gordon Neal Claimant Lawyers(s): Adam J. Stewart Respondent(s): David Reynolds, Steven Wright, Principal Securities. Respondent Lawyers(s): David Lee Reynolds, Kathryn Roe Eldridge Arbitrator(s): Ralph A. Cotton, Juleanne (Julie) A. Thiebaut, Stanley Data Hearing Site: San Francisco, CA
| | Expungement |
20-01011 | 10/05/2020 | Claimant(s): Chiu-ni Wang Claimant Lawyers(s): Joshua B. Kons Respondent(s): LPL Financial LLC Respondent Lawyers(s): Neil S. Baritz Arbitrator(s): Ralph A. Cotton Hearing Site: San Francisco, CA
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17-02810 | 12/30/2019 | Claimant(s): John Rossum Claimant Lawyers(s): Melinda J. Steuer Respondent(s): Bradley Gardner, Wells Fargo Advisors Financial Network Respondent Lawyers(s): Amir Tadjedin, Christopher A. Stecher Arbitrator(s): Ralph A. Cotton, Philip Aaron Tymon, Norman Dale Menegat Hearing Site: San Francisco, CA
| | Settlement |
18-00129 | 10/17/2018 | Claimant(s): Sandra Wang Claimant Lawyers(s): Eric Litow Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Nicholas Y. Lin Arbitrator(s): Ralph A. Cotton Hearing Site: San Francisco, CA
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