| 23-03050 | 05/06/2024 | Claimant(s): Gary Glockzin
Claimant Lawyers(s): Zachary S. Knoblock
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Jonathan L. French
Arbitrator(s): Charles G. Michaels, Mary Margaret Bush, Howard N. Gorney
Hearing Site: San Diego, CA
| | |
| 23-01437 | 04/05/2024 | Claimant(s): Ellice Papp
Claimant Lawyers(s): Harris Freedman
Respondent(s): Prudential Equity Group, Lehman Brothers Inc
Respondent Lawyers(s): Christopher K. Kiplok, Jennifer E. Novoselsky
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 23-01204 | 03/07/2024 | Claimant(s): Laif Meidell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Associated Securities Corp.
Respondent Lawyers(s): Registered Corporate Agent
Arbitrator(s): Mary Margaret Bush
Hearing Site: Reno, NV
| | |
| 23-00066 | 11/28/2023 | Claimant(s): Gorospe Trust, Andre Gorospe, Trustee
Claimant Lawyers(s): Richard Haas
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Mary Margaret Bush
Hearing Site: Honolulu, HI
|  | Expungement |
| 22-01567 | 08/04/2023 | Claimant(s): Paul Knoblich
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Foothill Securities.
Respondent Lawyers(s): Jeff Naylor
Arbitrator(s): Carlos Richard Mangum, Daniel M. Yamshon, Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 22-01713 | 05/18/2023 | Claimant(s): Steven Zhou
Claimant Lawyers(s): Samantha Pastor
Respondent(s): JMP Securities LLC
Respondent Lawyers(s): Andrew R. Livingston
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 22-00467 | 04/10/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): William Montgomery
Respondent(s): Bruce Davis
Respondent Lawyers(s): Bruce Lavar Davis
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 21-02729 | 02/28/2023 | Claimant(s): Michael Phillips
Claimant Lawyers(s): Courtney M. Werning
Respondent(s): Asia Pacific Financial Management Group
Respondent Lawyers(s): Anne T. Freeland
Arbitrator(s): Daniel M. Yamshon, Mary Margaret Bush, Alden Sharp Adkins
Hearing Site: Honolulu, HI
| | $3,042,160 |
| 21-02374 | 01/17/2023 | Claimant(s): Allen Wagner
Claimant Lawyers(s): Allen B. Wagner
Respondent(s): Kelly Behunin, Fidelity Brokerage Services LLC, Peter Lee, Puja Aggarwal, Robert Burge, FMR, Fidelity Personal & Workplace Advisors, Strategic Advisers LLC
Respondent Lawyers(s): Casey W. Jones, Noah D. Sorkin
Arbitrator(s): Mary Margaret Bush, Philip Aaron Tymon, Diane Duvall
Hearing Site: San Francisco, CA
| | Expungement |
| 20-02284 | 05/20/2022 | Claimant(s): Mathew Schweifler
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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