| 21-03029 | 04/19/2022 | Claimant(s): Egidio Mogavero
Claimant Lawyers(s): Egidio Gil Mogavero
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): David J. Romanski
Hearing Site: San Francisco, CA
|  | $0 |
| 21-02172 | 01/27/2022 | Claimant(s): Raymond Murdoch
Claimant Lawyers(s): Raymond M Murdoch
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin Lewis
Arbitrator(s): David J. Romanski
Hearing Site: Seattle, WA
| | $0 |
| 20-02180 | 05/14/2021 | Claimant(s): Leigh Jeter Stanford
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): David J. Romanski
Hearing Site: San Francisco, CA
| | |
| 20-03285 | 04/28/2021 | Claimant(s): William Biddle
Claimant Lawyers(s): Damon Booth
Respondent(s): Edward Jones, Michael Goodwin
Respondent Lawyers(s): Bentley P. Stansbury, Michael Goodwin
Arbitrator(s): Carlos Richard Mangum, David J. Romanski, Arocles Aguilar
Hearing Site: Reno, NV
| | Expungement |
| 20-03093 | 03/22/2021 | Claimant(s): Virgil Threlkeld
Claimant Lawyers(s): David Monsour
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): David J. Romanski
Hearing Site: San Francisco, CA
| | |
| 07-03055 | 12/29/2015 | Claimant(s): Ruthe Gomez, Advisory Financial Consultants.
Claimant Lawyers(s): Christopher Mader
Respondent(s): Locke Haven, TradeRight Securities.
Respondent Lawyers(s): Becky Townsend, Michael Rukojzo
Arbitrator(s): Charles E. Farnsworth, David J. Romanski, Michael Craig Butterworth
Hearing Site: San Francisco, CA
| | |
| 10-00540 | 10/21/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kirstin E. Muller
Respondent(s): Wedbush Securities Inc., Michael Hornkohl, Robert Brown
Respondent Lawyers(s): John Stenson
Arbitrator(s): David J. Romanski, Vincent J. Natoli, Michael M. Hachigian
Hearing Site: Los Angeles, CA
| | |
| 10-01622 | 11/10/2011 | Claimant(s): Donald Wilson
Claimant Lawyers(s): Kirk B. Freeman
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Jane Bradley, David J. Romanski, Dennis Markham Smith
Hearing Site: San Francisco, CA
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