| 20-02793 | 09/09/2021 | Claimant(s): Robert Ryan
Claimant Lawyers(s): Zachary Morse
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
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| 20-03458 | 07/23/2021 | Claimant(s): Sean Dobranich
Claimant Lawyers(s): James P. Galvin
Respondent(s): Wells Fargo Clearing Services, Waddell & Reed
Respondent Lawyers(s): Chad Weaver, Patricia Cowart
Arbitrator(s): Barry A. Mainardi, Robert E. Jenks, Ben Lehavi
Hearing Site: Las Vegas, NV
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| 20-01393 | 06/22/2021 | Claimant(s): Anil Gulati
Claimant Lawyers(s): Louis Tambaro
Respondent(s): Woodbury Financial Services., AXA Advisors
Respondent Lawyers(s): Chad Weaver, Michael Bryant
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
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| 20-02957 | 06/15/2021 | Claimant(s): Ralph Adamo
Claimant Lawyers(s): Frances Menzer
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, 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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| 20-02154 | 01/26/2021 | Claimant(s): James Regitz Jr.
Claimant Lawyers(s): Harris Freedman
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
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| 20-01047 | 01/25/2021 | Claimant(s): Ralph Adamo
Claimant Lawyers(s): Kurt Zimmerman
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Michael M. Hachigian
Hearing Site: Los Angeles, CA
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| 17-00102 | 12/15/2020 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ameriprise Financial Services, Li-lin Hsu
Respondent Lawyers(s): Chad Weaver, Li-lin Hsu
Arbitrator(s): Lois J. Cox, Milton N. Gross, Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 20-00950 | 11/24/2020 | Claimant(s): Christopher Gammon
Claimant Lawyers(s): Chad Weaver
Respondent(s): IMS Securities.
Respondent Lawyers(s): Jackie Wadsworth
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
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| 20-00911 | 11/10/2020 | Claimant(s): John Scambray
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Alden Sharp Adkins
Hearing Site: San Francisco, CA
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