| 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 |
| 18-03500 | 07/25/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Kevin Jurovich
Respondent Lawyers(s): Kevin A. Jurovich
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 18-01790 | 04/11/2019 | Claimant(s): Frank Auyeung
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Wells Fargo Clearing Services, Wells Fargo Investments, Banc of America Investment Services Inc.
Respondent Lawyers(s): Geoffrey S. Beckham, Randi Perry Spallina
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 17-02567 | 01/14/2019 | Claimant(s): Michael Clancy
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Portland, OR
| | |
| 18-01556 | 01/14/2019 | Claimant(s): Travis Hudak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): GunnAllen Financial
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Salt Lake City, UT
| | |
| 17-02665 | 12/13/2018 | Claimant(s): Rajiv Nagesetty& Neesha Pammi RevocTrust
Claimant Lawyers(s): Rick Conway
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | $0 |
| 18-01266 | 11/14/2018 | Claimant(s): Travis Hughes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors, The Equitable Life Assurance Society
Respondent Lawyers(s): Hector D. Geribon
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Albuquerque, NM
| | |
| 16-03388 | 09/25/2018 | Claimant(s): Robert Anderson
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Wells Fargo Advisors, Raymond Kvalvog
Respondent Lawyers(s): Demian John Betz, Michael E.. Rowe
Arbitrator(s): Daniel M. Yamshon, William Michael Samsel, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | $75,384 |
| 16-02012 | 07/02/2018 | Claimant(s): Alberto Fogel, Rita Bemaras De Mizrachi
Claimant Lawyers(s): Brian Levin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): William Ziering, Ralph A. Cotton, Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | Expungement |
| 17-00051 | 06/25/2018 | Claimant(s): David Coletti, Gail Charles, CDG (Ohio) LLC
Claimant Lawyers(s): Ross D Carmel
Respondent(s): Bruce Greenwald, Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): George J. Karlsven, Daniel M. Yamshon, Marc Kalish
Hearing Site: Salt Lake City, UT
| | Expungement |
