| 21-02124 | 04/25/2022 | Claimant(s): Mearu Takatsu
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Wells Fargo Investments, TD Ameritrade., Citicorp Investment Services
Respondent Lawyers(s): Adam Kauff, Bryce Cullinane, Valerie Holder
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 21-02138 | 03/25/2022 | Claimant(s): Ian Castille
Claimant Lawyers(s): Ariel Okonsky
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | |
| 16-01608 | 08/10/2017 | Claimant(s): Josette S. Hatter IRA, Rodney R. Hatter SEP IRA account
Claimant Lawyers(s): Rodney Ray Hatter
Respondent(s): Brian Henderson, UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
|  | $0 |
| 16-03111 | 06/12/2017 | Claimant(s): Richard Bertain
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane, Lesley V. Tepper
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 16-03211 | 06/01/2017 | Claimant(s): Jeffrey Horn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | |
| 16-02377 | 01/23/2017 | Claimant(s): Bradford Smith
Claimant Lawyers(s): Mark Appleton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | $300 |
