| 23-02824 | 08/09/2024 | Claimant(s): Mychael Nguyen
Claimant Lawyers(s): Harris Freedman
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Andrew S. Azarmi
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
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| 24-00404 | 07/01/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Gabriel Lee-Sanchez
Respondent(s): Jason Bostian
Respondent Lawyers(s): Jason Bostian
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
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| 23-02868 | 06/13/2024 | Claimant(s): Ankit Sahu
Claimant Lawyers(s): Peter Lindholm
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
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| 23-03198 | 04/24/2024 | Claimant(s): Dean Donohue
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Douglas M. Branson, J.G. Long, Shawn Ridgell
Hearing Site: Louisville, KY
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| 23-02272 | 12/22/2023 | Claimant(s): Yan Liu
Claimant Lawyers(s): Yan Liu
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
|  | $0 |
| 22-02280 | 12/20/2023 | Claimant(s): Christopher Fusco
Claimant Lawyers(s): Leila M. Shaver
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Christopher W. Allick, Shawn Ridgell, Lemuel Cruz Costibolo
Hearing Site: San Francisco, CA
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| 21-00202 | 10/26/2023 | Claimant(s): Salah Uddin
Claimant Lawyers(s): Salah Uddin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Harris L. Kay
Arbitrator(s): Michael C. Anigbogu, Shawn Ridgell, Gary Kostow
Hearing Site: San Francisco, CA
| | $0 |
| 22-00465 | 02/02/2023 | Claimant(s): Jennifer Johnston
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
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| 22-00549 | 12/20/2022 | Claimant(s): Dennis Nakamura, Rurie Nakamura, The Rurie Nakamura Rollover IRA, 1994 Akira & Rurie Nakamura Family Trust, The Akira Nakamura Bypass Trust, The Rurie Nakamura Marital Trust
Claimant Lawyers(s): Dennis M. Nakamura
Respondent(s): Kevin McGregor, Avantax Advisory Services., Avantax Investment Services., Avantax Wealth Management., H.D. Vest Advisory Services Inc.
Respondent Lawyers(s): Natalie P. Vance
Arbitrator(s): James R. Dickson, Shawn Ridgell, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | $0 |
| 22-01006 | 11/16/2022 | Claimant(s): Sangeeta Singh
Claimant Lawyers(s): Sangeeta D Singh
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
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