| 20-01050 | 11/06/2020 | Claimant(s): Victor Wickwire
Claimant Lawyers(s): Thomas R Wickwire
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Ilana Herscovitz Reid
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Anchorage, AK
|  | $22,929 |
| 19-02754 | 06/18/2020 | Claimant(s): Richard Bollard
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Michael Blumer, First Standard Financial Company LLC
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Anchorage, AK
| | $120 |
| 19-00392 | 11/29/2019 | Claimant(s): Joseph Hong
Claimant Lawyers(s): Joseph Hong
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): John J. Fitzpatrick, Joan M. Schroeder, Clydia Jean Cuykendall
Hearing Site: Seattle, WA
| | |
| 18-03775 | 04/16/2019 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): Duncan Sandlin
Respondent Lawyers(s): Duncan Tyrel Sandlin
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Portland, OR
| | |
| 18-02775 | 04/11/2019 | Claimant(s): Scott Hultsman
Claimant Lawyers(s): Amir Tadjedin
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Timnothy A. Menezes
Arbitrator(s): Linda M. McCoy, Peter H. Daly, John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 18-00121 | 04/02/2019 | Claimant(s): Mirchandani-Xu FLT
Claimant Lawyers(s): Michael Hill
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): John J. Fitzpatrick, Jon H. Sylvester, Adrian Alec Colley
Hearing Site: San Francisco, CA
| | $0 |
| 17-03404 | 01/07/2019 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Donald A. Corbett
Respondent(s): Francis Roche
Respondent Lawyers(s): David Commins
Arbitrator(s): Nancy Hutt, John J. Fitzpatrick, James G. Gillivan
Hearing Site: San Francisco, CA
| | |
| 17-01050 | 02/08/2018 | Claimant(s): Gregory Sain
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Joanne Harris, Robert Harris, The Harris Revocable Trust
Respondent Lawyers(s): Robert N. Harris
Arbitrator(s): Gilbert R. Serota, John J. Fitzpatrick, Benjamin Slomoff
Hearing Site: San Francisco, CA
| | Expungement |
| 17-00405 | 01/12/2018 | Claimant(s): Daniel Ahmad
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation, QA3 Financial Corp.
Respondent Lawyers(s): Chad Weaver, Stephen K. Wild
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 17-00516 | 12/19/2017 | Claimant(s): Michael Treinen, Sandra Dalton, William Bahney
Claimant Lawyers(s): Amy B. Bard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
