| 20-01066 | 12/22/2021 | Claimant(s): Edward Newman
Claimant Lawyers(s): Edward K. Newman
Respondent(s): Aja Hallin, Beth Kirkland, Elizabeth Roberts, Wells Fargo Clearing Services, Kevin Smith, Sanford Smith, Theresa Machi, Tomm Hudson
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Mary Margaret Bush, David I. Levine, Christopher Cother Powers
Hearing Site: San Francisco, CA
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| 21-01216 | 12/08/2021 | Claimant(s): Henry Franscioni
Claimant Lawyers(s): Zachary Morse
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 20-03071 | 11/10/2021 | Claimant(s): Mathew Schweifler
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Rosemary Francavilla
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 20-04058 | 08/23/2021 | Claimant(s): Thomas Chaney
Claimant Lawyers(s): James P Galvin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Gene R Thornton, John J. Fitzpatrick, Mary Margaret Bush
Hearing Site: Albuquerque, NM
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| 20-02810 | 08/09/2021 | Claimant(s): Brannan Vaughan
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 20-02256 | 06/24/2021 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Garry T. Stevens
Respondent(s): John Marty
Respondent Lawyers(s): John Eugene Marty
Arbitrator(s): Elmo E. Wedderburn, Mary Margaret Bush, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
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| 20-03010 | 05/20/2021 | Claimant(s): Joshua Williamson
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 20-01102 | 02/10/2021 | Claimant(s): James Kirwan
Claimant Lawyers(s): Harris Freedman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 20-00627 | 10/09/2020 | Claimant(s): Daniel Chang, Steve Kim
Claimant Lawyers(s): Adam C. Pollet
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Alicia L. Dragoo
Arbitrator(s): Gary William England, Mary Margaret Bush, Shawn Ridgell
Hearing Site: San Francisco, CA
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| 19-03368 | 06/17/2020 | Claimant(s): Craig Nelson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): James Noblett
Arbitrator(s): Mary Margaret Bush
Hearing Site: Salt Lake City, UT
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