| 23-02871 | 10/23/2024 | Claimant(s): Andrew Stout
Claimant Lawyers(s): Peter Lindholm
Respondent(s): WAMU Investments., UBS Financial Services Inc., Citicorp Investment Services
Respondent Lawyers(s): Adam Kaufforate Officer, John Murphy
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 23-01431 | 05/07/2024 | Claimant(s): John Bostaph
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): WAMU Investments., Wells Fargo Investments
Respondent Lawyers(s): Geoff Beckham, Registered Agent
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | |
| 23-00900 | 02/08/2024 | Claimant(s): Mark Schrader
Claimant Lawyers(s): Craig A. Riha
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
| | |
| 20-02919 | 12/28/2021 | Claimant(s): Everest Wong
Claimant Lawyers(s): Chelsea Masters
Respondent(s): WAMU Investments.
Respondent Lawyers(s): James H. Davis
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | |
| 20-02984 | 06/14/2021 | Claimant(s): Bradley Cooperman
Claimant Lawyers(s): Frances Menzer
Respondent(s): WAMU Investments.
Respondent Lawyers(s): James H. David
Arbitrator(s): Randy R. Maher
Hearing Site: San Diego, CA
| | |
| 18-00506 | 11/23/2018 | Claimant(s): Gabriel Yanez
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Richard B. Davis
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | |
| 11-00494 | 05/29/2012 | Claimant(s): Barnard Lewis Family Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Chase Investment Services Corp., WAMU Investments.
Respondent Lawyers(s): Erika Imre Schindler, Joseph S. Simms
Arbitrator(s): Herbert Liberman, Amy Seltzer, Paul D. Gutierrez
Hearing Site: San Francisco, CA
|  | Expungement |
| 09-01822 | 06/04/2010 | Claimant(s): JoAnne Simas, Joseph Simas
Claimant Lawyers(s): Mitchell Albert
Respondent(s): WAMU Investments., Jim McElravy
Respondent Lawyers(s): Robert J. Stumpf
Arbitrator(s): Donald S. Duerson, John P. Wilson, Walter J. Huntley
Hearing Site: San Francisco, CA
| | $350,000 |
| 08-04540 | 03/25/2010 | Claimant(s): Manny Neves
Claimant Lawyers(s): Courtland T. Shafer
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): G. E. Craig Doupe, Paul R. Meyer, Frederick B. Mueller
Hearing Site: Seattle, WA
| | $0 |
| 09-02004 | 03/23/2010 | Claimant(s): Joseph Schuessler and Diane Schuessler
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Jill R. Yutzy
Arbitrator(s): Richard E. Conner
Hearing Site: Boca Raton, FL
| | $0 |
