| 21-01092 | 03/09/2022 | Claimant(s): Randall Krenzin
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services, Banc of America Investment Services Inc.
Respondent Lawyers(s): Geoffrey S. Beckham, Laura A. Pizzitola
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 21-01745 | 02/28/2022 | Claimant(s): Dax Williamson
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Wells Fargo Advisors Financial Network, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Geoffrey S. Beckham, Katelyn H. Wilson
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 21-01195 | 12/17/2021 | Claimant(s): Joseph Frank
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 19-00293 | 10/22/2019 | Claimant(s): Stephen Seewer
Claimant Lawyers(s): Michael Bessette
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 18-01790 | 04/11/2019 | Claimant(s): Frank Auyeung
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Wells Fargo Clearing Services, Wells Fargo Investments, Banc of America Investment Services Inc.
Respondent Lawyers(s): Geoffrey S. Beckham, Randi Perry Spallina
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 17-02461 | 03/08/2019 | Claimant(s): Bradley Glasman
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Geoffrey S. Beckham
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 18-00578 | 12/28/2018 | Claimant(s): Shawn Richardson
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Geoffrey S. Beckham
Arbitrator(s): Peter H. Daly
Hearing Site: Seattle, WA
| | |
| 18-02148 | 12/04/2018 | Claimant(s): Breanne Polonia
Claimant Lawyers(s): Cheryl S. Chang
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 18-00142 | 10/31/2018 | Claimant(s): Nancy Undem
Claimant Lawyers(s): Jules L. Federman
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): E. Milton Frosburg, Kevin K. Forrester, Shawn Michael Spaulding
Hearing Site: San Diego, CA
|  | Dismissed by Rule 12206 |
| 14-03818 | 11/09/2015 | Claimant(s): Kathleen Szewczyk
Claimant Lawyers(s): Ross S. Carponelli
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Mark L Miller, Jeffrey W. Finke, Shelby Webb
Hearing Site: Chicago, IL
| | $0 |
