| 23-02786 | 10/28/2024 | Claimant(s): Linda Fontanes
Claimant Lawyers(s): Kerry Lawson Pedigo
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Joseph C. Roberts, Peter H. Daly, James John Jurinski
Hearing Site: Boise, ID
|  | $0 |
| 20-00455 | 07/03/2024 | Claimant(s): Christina Aitchison, Thomas Aitchison, Christina S. Aitchison IRA Account, Thomas M. Aitchison IRA Account, TM & CS Aitchison 1998 Revocable Trust
Claimant Lawyers(s): Brandon S. Reif, Jon C. Furgison
Respondent(s): Morgan Stanley, Jim Stephenson, Nicholas Rogers
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Ralph A. Cotton, Peter H. Daly, Kevin Francis Woodall
Hearing Site: San Francisco, CA
| | Expungement |
| 21-02748 | 05/25/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Kevin J Woods
Respondent(s): Eric Demarcus
Respondent Lawyers(s): Neda Ataie
Arbitrator(s): Peter H. Daly, Val D. Hornstein, Richard Ullman
Hearing Site: San Francisco, CA
| | |
| 22-01839 | 05/09/2023 | Claimant(s): Ronald Kuhn
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): David Smitham
Arbitrator(s): Peter H. Daly, Arocles Aguilar, Bruce Swartout
Hearing Site: Honolulu, HI
| | |
| 21-01716 | 07/27/2022 | Claimant(s): Diane Jones
Claimant Lawyers(s): Scott Ira Batterman
Respondent(s): Christ Baltas, Worden Capital Management LLC, Gregory Bodkin, Jamie Worden
Respondent Lawyers(s): Charles M. O'Rourke, Christ Elias Baltas, Jamie John Worden
Arbitrator(s): Robert E. Thompson, Peter H. Daly, Kenneth W. Gosliner
Hearing Site: Honolulu, HI
| | $80,000 |
| 21-01278 | 12/21/2021 | Claimant(s): Hajime Amaya
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Herbert Liberman, Herb Schwartz, Peter H. Daly
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 21-00395 | 08/13/2021 | Claimant(s): Michelle Legatzke IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Erinn M. Maguire
Arbitrator(s): Laurel Littman Gothelf, Peter H. Daly, Lesley Ann Troope
Hearing Site: Reno, NV
| | Dismissed by Rule 12206(b) |
| 20-03676 | 07/26/2021 | Claimant(s): Leslie Miller
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeff Palmer
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
| | |
| 20-03174 | 03/15/2021 | Claimant(s): David Donat
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Peter H. Daly
Hearing Site: Rapid City, SD
| | |
| 20-02456 | 02/17/2021 | Claimant(s): Steven Quinly
Claimant Lawyers(s): Robert L Gonser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
| | |
