| 18-00122 | 04/10/2019 | Claimant(s): Paula Tyler, Trustee Tyler Family Trust
Claimant Lawyers(s): Joseph S. Schuchert
Respondent(s): National Securities Corporation, Folio Investments.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Mary M. O'Neil, Earl Robert Jordan, Bonnie Chavez
Hearing Site: Los Angeles, CA
|  | $0 |
| 18-01333 | 02/05/2019 | Claimant(s): Jeffrey Lavin, Mark Sudol
Claimant Lawyers(s): Chad Weaver
Respondent(s): Sagepoint Financial., National Planning Corporation
Respondent Lawyers(s): Bradley Fishman, Scott R. Furbush
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | |
| 18-01738 | 01/14/2019 | Claimant(s): Richard Maxey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America., Valic Financial Advisors.
Respondent Lawyers(s): Chad Weaver, Cora E. MacLean
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | |
| 18-01318 | 12/28/2018 | Claimant(s): Adam Goldstein
Claimant Lawyers(s): Chad Weaver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
| | |
| 18-00480 | 12/03/2018 | Claimant(s): Charles Duncan
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
| | |
| 18-00160 | 09/21/2018 | Claimant(s): Mary Abbott
Claimant Lawyers(s): Melissa Abbott
Respondent(s): Casey Broach, National Planning Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | $14,000 |
| 18-00003 | 06/20/2018 | Claimant(s): Securities America.
Claimant Lawyers(s): Chad Weaver
Respondent(s): Timothy Ballard
Respondent Lawyers(s): Timothy David Ballard
Arbitrator(s): George King
Hearing Site: San Francisco, CA
| | |
| 17-02375 | 03/26/2018 | Claimant(s): Brad Stark
Claimant Lawyers(s): Chad Weaver
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Kirtley M. Thiesmeyer, Joseph L. Hagan, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
| | |
| 17-00405 | 01/12/2018 | Claimant(s): Daniel Ahmad
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation, QA3 Financial Corp.
Respondent Lawyers(s): Chad Weaver, Stephen K. Wild
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 15-02285 | 09/21/2017 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ameriprise Financial Services., Li-Lin Hsu, American Express Financial Corporation
Respondent Lawyers(s): Chad Weaver, Li-Lin Hsu
Arbitrator(s): Richard M. Norman, Kirtley M. Thiesmeyer, Lorraine Woodwark
Hearing Site: Los Angeles, CA
| | Settlement |
