| 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 |
| 15-02046 | 07/21/2017 | Claimant(s): Harold Garner, Shirley Garner
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Ameriprise Financial Services., Michael Sommerfield
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Douglas Earl McLaren, Christopher M. McMurray, Eric Erdheim
Hearing Site: Baltimore, MD
| | Expungement |
| 16-02408 | 07/07/2017 | Claimant(s): Randall Moses
Claimant Lawyers(s): Randall H. Moses
Respondent(s): Dawn Winship
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-02910 | 05/24/2017 | Claimant(s): Christine Orta, John Lindsey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 16-01142 | 12/22/2016 | Claimant(s): Brad Stark
Claimant Lawyers(s): Chad Weaver
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Norman Cousins Sasamori, Milton N. Gross, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | |
| 15-00748 | 08/02/2016 | Claimant(s): Charles Mugrauer
Claimant Lawyers(s): Sheila Hollander
Respondent(s): Ameriprise Financial Services., Randall Samson, Scott Esco
Respondent Lawyers(s): Chad Weaver, Elizabeth Poletti, Timothy N. Will
Arbitrator(s): Herb Schwartz, Robert Sachs Mandelson, Shirish Gupta
Hearing Site: San Francisco, CA
| | Expungement |
| 15-00407 | 07/27/2016 | Claimant(s): David Cross, Roberta Cross
Claimant Lawyers(s): Jeffrey L. Gaffney, Sheila Hollander
Respondent(s): Ameriprise Financial Services., Randall Samson, Scott Esco
Respondent Lawyers(s): Chad Weaver, Timothy N. Will
Arbitrator(s): William W. Haskell, Michael Lancaster Garcia, Norman S. Nayfach
Hearing Site: San Francisco, CA
| | Expungement |
| 15-00885 | 07/26/2016 | Claimant(s): Roscoe Goehring, Sally Goehring
Claimant Lawyers(s): Sheila Hollander
Respondent(s): Ameriprise Financial Services., Randall Samson, Scott Esco
Respondent Lawyers(s): Chad Weaver, Elizabeth Poletti, Timothy N. Will
Arbitrator(s): Isidoro Berkman, Sterling N. Frost, Michael Craig Butterworth
Hearing Site: San Francisco, CA
| | Expungement |
| 15-02303 | 03/18/2016 | Claimant(s): Securities America.
Claimant Lawyers(s): Chad Weaver
Respondent(s): Derek Miller
Respondent Lawyers(s): Derek Lee Miller
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: Los Angeles, CA
| | |
| 14-00113 | 12/04/2014 | Claimant(s): George A. Francis Revocable Trust dtd 11
Claimant Lawyers(s): George A. Francis
Respondent(s): Dewey Darwin, Mark Lippman
Respondent Lawyers(s): Chad Weaver, Mark Lippman
Arbitrator(s): Patricia G. Parthe
Hearing Site: Phoenix, AZ
| | Expungement |
