| 19-01370 | 12/23/2019 | Claimant(s): David Li
Claimant Lawyers(s): Frances Menzer
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 19-00215 | 11/05/2019 | Claimant(s): Kenneth Ancell
Claimant Lawyers(s): Harris M. Freedman
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter Wheeler
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 19-00011 | 10/10/2019 | Claimant(s): Garret Morgan
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 18-03907 | 09/11/2019 | Claimant(s): Gavin Kerby
Claimant Lawyers(s): Gavin Kerby
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Thaddeus J. Tecza, Ronald G. Guida, Mary Margaret Bush
Hearing Site: Salt Lake City, UT
|  | Dismissed |
| 18-01862 | 01/31/2019 | Claimant(s): Kai Chen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Deborah Burstein
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 18-00607 | 10/17/2018 | Claimant(s): Dennis Dachtler
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Ameritas Investment Corp.
Respondent Lawyers(s): David M. Williams
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 17-02985 | 05/30/2018 | Claimant(s): Aaron Graham
Claimant Lawyers(s): Owen Harnett
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Mary Margaret Bush
Hearing Site: Salt Lake City, UT
| | |
| 16-02246 | 04/24/2018 | Claimant(s): Jacob Coronado
Claimant Lawyers(s): Henry D. Nunez
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments, Mark Nance, Michael Muller, Wells Fargo Bank National Association
Respondent Lawyers(s): Michael Joseph Gomez
Arbitrator(s): Paul J. Dubow, Peter H. Daly, Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $181,931 |
| 16-03643 | 03/06/2018 | Claimant(s): Mark Watson
Claimant Lawyers(s): Chad S. Pehrson
Respondent(s): Brandon Stimpson, Allegis Investment Advisors, Allegis Investment Services
Respondent Lawyers(s): Tamara A. Seelman
Arbitrator(s): Jonathan H. Krotinger, Mary Margaret Bush, Kathy L. Eisenmenger
Hearing Site: Salt Lake City, UT
| | $404,480 |
| 16-00848 | 01/30/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Marc Pearl
Respondent Lawyers(s): Marc Harold Pearl
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
