| 23-02478 | 07/22/2024 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Rick Smith
Respondent(s): Feng Chen
Respondent Lawyers(s): Feng Kou Chen
Arbitrator(s): John Burritt McArthur
Hearing Site: San Francisco, CA
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| 18-04051 | 09/25/2019 | Claimant(s): Tanya Coffeen
Claimant Lawyers(s): Mark A Tepper
Respondent(s): Raymond, James & Associates., D.A. Davidson & Co.
Respondent Lawyers(s): Elizabeth Lowery, Stanton A. Fears
Arbitrator(s): John Burritt McArthur
Hearing Site: San Francisco, CA
|  | $69,554 |
| 18-01436 | 06/20/2019 | Claimant(s): Shamima Aktar
Claimant Lawyers(s): Shamima Aktar
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Eric M. Steinert
Arbitrator(s): Gary A. Hooker, Dean J. Dietrich, John Burritt McArthur
Hearing Site: San Francisco, CA
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| 15-00148 | 10/30/2017 | Claimant(s): James Wong, Justin Harris
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Rebecca L. Gerome
Arbitrator(s): Anita Rae Shapiro, David Martin Achterkirchen, John Burritt McArthur
Hearing Site: San Francisco, CA
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| 16-03515 | 08/29/2017 | Claimant(s): Laurie Seeman, Michael Cadoo, Michael Cadoo IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): David Down, James Lunsford, Jeanine Devine, Sarah Fong, Timothy Brown, Mid Atlantic Capital Corporation
Respondent Lawyers(s): James B. Lunsford, John W. Stenson
Arbitrator(s): Laurel Littman Gothelf, William Michael Samsel, John Burritt McArthur
Hearing Site: San Francisco, CA
| | Expungement |
| 15-01751 | 06/19/2017 | Claimant(s): Dalas Gundersen
Claimant Lawyers(s): John R. Garner
Respondent(s): Edward Jones
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Lester Friedman, Robert Sachs Mandelson, John Burritt McArthur
Hearing Site: San Francisco, CA
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| 15-00528 | 03/09/2016 | Claimant(s): Dennis Dai
Claimant Lawyers(s): Anna M. Rossi
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Sterling N. Frost, Mary H. Evans, John Burritt McArthur
Hearing Site: San Francisco, CA
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| 13-01664 | 08/27/2014 | Claimant(s): Noriel Campos
Claimant Lawyers(s): Ryan T. Dunn
Respondent(s): Beth Kirkland, Wells Fargo Advisors, George Von Zedlitz, Kevin Kitchin, Wilton Owyang
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Sheldon Michaels, Clifford A. Threlkeld, John Burritt McArthur
Hearing Site: San Francisco, CA
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