| 23-00207 | 09/22/2023 | Claimant(s): Roger Follis
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Robertson Stephens.
Respondent Lawyers(s): Vincent V. Mulcahy
Arbitrator(s): Thomas Arthur Cohen
Hearing Site: San Francisco, CA
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| 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
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| 20-02029 | 12/09/2022 | Claimant(s): Shannon Zoller
Claimant Lawyers(s): Linda D Friedman
Respondent(s): Daniel Veatch, Jonathan Jameson, Reidan Cruz, Robert Hofeditz, GCA Advisors
Respondent Lawyers(s): Diane M. Doolittle
Arbitrator(s): David H. S. Commins, Alden Sharp Adkins, Thomas Arthur Cohen
Hearing Site: San Francisco, CA
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| 18-00573 | 02/18/2021 | Claimant(s): Frank Cuenca, Timothy Sullivan
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): National Planning Holding LLC, SII Investments.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Barbara M. Anscher, Thomas Arthur Cohen, Christopher Cother Powers
Hearing Site: San Francisco, CA
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