| 19-00217 | 04/28/2020 | Claimant(s): Clayton Shum
Claimant Lawyers(s): Harris Freedman
Respondent(s): First Midwest Securities.
Respondent Lawyers(s): David Nevinski
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
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| 18-04376 | 10/11/2019 | Claimant(s): Mark Richmond
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 18-02773 | 09/05/2019 | Claimant(s): Scott Hultsman
Claimant Lawyers(s): Amir Tadjedin
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Timothy A. Menezes
Arbitrator(s): James R. Dickson, Jonathan H. Krotinger, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 18-00253 | 08/29/2019 | Claimant(s): Sandra Althaus, Sandra Althaus IRA, Sandra Althaus Roth IRA, Sandra Althaus SEP IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Daniel M. Yamshon, David I. Levine, Michael Lancaster Garcia
Hearing Site: Reno, NV
|  | $721,117 |
| 18-01253 | 09/27/2018 | Claimant(s): Timothy Sullivan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 17-02767 | 07/16/2018 | Claimant(s): Rebbecca Stay
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Seattle, WA
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| 17-02490 | 03/23/2018 | Claimant(s): Aaron Graham
Claimant Lawyers(s): Owen Harnett
Respondent(s): United Planners' Financial Services Of A
Respondent Lawyers(s): Douglas C. Hall
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Salt Lake City, UT
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| 16-01842 | 12/19/2017 | Claimant(s): David Bennette
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Eric M. Steinert
Arbitrator(s): Elmo E. Wedderburn, Michael Lancaster Garcia, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | |
| 16-03406 | 06/21/2017 | Claimant(s): Bryan Engebretson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): John Geelan
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Seattle, WA
| | |
| 16-03056 | 06/01/2017 | Claimant(s): Travis Hudak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., H. Beck.
Respondent Lawyers(s): Benjamin Cooper, Francesca M. Lanpher
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Salt Lake City, UT
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