| 22-02257 | 06/06/2023 | Claimant(s): Gale Brodie
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Waddell & Reed, MSI Financial Services.
Respondent Lawyers(s): Ariel N. Brotman, Mike West
Arbitrator(s): Gary A. Hooker, Philip Aaron Tymon, Bruce J Highman
Hearing Site: San Francisco, CA
| | |
| 20-03369 | 05/21/2021 | Claimant(s): Rey Deborja
Claimant Lawyers(s): Kartikey Pradhan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Gary A. Hooker, Thomas D. Reese, Keara Kelly Roethke
Hearing Site: San Francisco, CA
| | |
| 18-01436 | 06/20/2019 | Claimant(s): Shamima Aktar
Claimant Lawyers(s): Shamima Aktar
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Eric M. Steinert
Arbitrator(s): Gary A. Hooker, Dean J. Dietrich, John Burritt McArthur
Hearing Site: San Francisco, CA
| | |
| 13-03716 | 06/16/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Andrew Spivey
Respondent Lawyers(s): Andrew G. Spivey
Arbitrator(s): Herb Schwartz, Gary A. Hooker, Susan J. Alexander
Hearing Site: San Francisco, CA
| | |
| 12-02325 | 08/25/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jonathan C. Thau
Arbitrator(s): Gary A. Hooker, James D. Murray, Robert Mallin Hirsch
Hearing Site: San Francisco, CA
| | |
| 10-04109 | 03/31/2014 | Claimant(s): Lehman Brothers Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Christopher Clifford
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Gary A. Hooker, Sterling N. Frost, Michael J. Fish
Hearing Site: San Francisco, CA
| | |
| 09-06810 | 02/29/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Kent Elliott
Respondent Lawyers(s): John W. Shaw
Arbitrator(s): Lester Friedman, Gary A. Hooker, Val D. Hornstein
Hearing Site: San Francisco, CA
| | |
| 10-00168 | 11/11/2011 | Claimant(s): Chris Williams, David Beecham, Deborah Williams, Jerry Davidson, Jessie Beecham, Kathleen Davidson, Class Action Watch, David Beecham IRA, Jessie Beecham IRA, Davidson Family Trust UADTD 10.27.1979, Williams Family Trust
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management, In, The Charles Schwab Corporation
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Helen Marinak Blohm, Gary A. Hooker, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
|  | Expungement |
| 09-04144 | 06/29/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Vince Dimaggio
Respondent Lawyers(s): Daria Dub Carlson
Arbitrator(s): Gary A. Hooker, Sean B. Meehan, James G. Gillivan
Hearing Site: San Francisco, CA
| | |
| 07-03390 | 10/01/2010 | Claimant(s): Sharon Larocque, IRA
Claimant Lawyers(s): Sharon Larocque
Respondent(s): Travis Branch, Brookstreet Securities Corporation
Respondent Lawyers(s): H Thomas Fehn, Travis A. Branch
Arbitrator(s): Harry B. Endsley, Gary A. Hooker, Carol M. Egan
Hearing Site: Honolulu, HI
| | $0 |
