| 15-00156 | 08/30/2016 | Claimant(s): Michael Hammel
Claimant Lawyers(s): Ryan Cook
Respondent(s): Michael Regina
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Mary Margaret Bush, Ralph L. Jacobson, Eric Carl Aker
Hearing Site: San Francisco, CA
|  | $183,232 |
| 15-00363 | 07/31/2015 | Claimant(s): Lesleigh Root
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $31,757 |
| 14-02201 | 02/26/2015 | Claimant(s): Xiwei Wu
Claimant Lawyers(s): Xiwei Wu
Respondent(s): Zhaohui Chen, Transamerica Financial Advisors
Respondent Lawyers(s): Susan Duff
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $0 |
| 12-01876 | 10/23/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): Steven Lavorando
Respondent Lawyers(s): Steven Mark Lavorando
Arbitrator(s): Mary Margaret Bush, Val D. Hornstein, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | |
| 13-01854 | 09/09/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Morgan Stanley, Wai Kee Chan
Respondent Lawyers(s): Joe Gehring, Peter M. Vial
Arbitrator(s): Mary Margaret Bush, Gerald Joseph Wilfley, Urs Laeuchli
Hearing Site: Honolulu, HI
| | |
| 14-00746 | 09/02/2014 | Claimant(s): Xi Chen
Claimant Lawyers(s): Xi Chen
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Debra Volland Achkire
Arbitrator(s): Mary Margaret Bush, Linda P. Drucker, Max Zeigler
Hearing Site: San Francisco, CA
| | |
| 12-00910 | 11/25/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): James Lewis
Respondent Lawyers(s): Peter A. Cantwell
Arbitrator(s): Herb Schwartz, Mary Margaret Bush, Douglas J. Pavese
Hearing Site: Reno, NV
| | |
| 12-02241 | 10/16/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Babak Yousefzadeh
Respondent(s): Christopher Oster
Respondent Lawyers(s): Christopher William Oster
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 12-00893 | 06/13/2013 | Claimant(s): Maxine Pope, Michael Pope, The Maxine O. Pope Trust Dated 04-05-90, The Michael Pope Trust Dated 06-09-08
Claimant Lawyers(s): Michael Hume, Thomas C. Bradley
Respondent(s): Wells Fargo Advisors, John Carlsen
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): Thomas D. Reese, Mary Margaret Bush, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | Expungement |
| 11-02413 | 12/11/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Richard Chan
Respondent Lawyers(s): Richard Lee Chan
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
