| 15-01067 | 10/04/2017 | Claimant(s): Hugh Cotter, Susan Coghlan
Claimant Lawyers(s): Christopher P. Mader
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Ralph L. Jacobson, David Martin Achterkirchen, Robert Mallin Hirsch
Hearing Site: San Francisco, CA
|  | Expungement |
| 15-02765 | 06/19/2017 | Claimant(s): Jack Paich
Claimant Lawyers(s): Christopher P. Mader
Respondent(s): Cory BurnellL Financial LLC, BluePrint Wealth Partners, Interactive Brokers LLC
Respondent Lawyers(s): Edward Zusman, Jason O. Billy, Neil Baritz
Arbitrator(s): William Michael Samsel, Philip Aaron Tymon, Anne M. Lawlor Goyette
Hearing Site: San Francisco, CA
| | $160,000 |
| 07-03072 | 12/29/2015 | Claimant(s): TradeRight Corp. d/b/a TradeRight Securi
Claimant Lawyers(s): James V. Garvey
Respondent(s): Ruthe Gomez, Advisory Financial Consultants.
Respondent Lawyers(s): Christopher P. Mader
Arbitrator(s):
Hearing Site: San Francisco, CA
| | |
| 12-03139 | 04/17/2014 | Claimant(s): Dorothy Sivo, Lighthouse Point
Claimant Lawyers(s): Christopher P. Mader
Respondent(s): Craig Johnsen, Norman Price, Ronald Robertson, RP Capital LLC, Strategic Capital Group
Respondent Lawyers(s): William E. Fitzharris
Arbitrator(s): David W. Evans, Todd A. Bloom, Charles Scott McClellan
Hearing Site: Seattle, WA
| | Expungement |
| 10-03941 | 10/08/2012 | Claimant(s): Gerhard Rohloff, Gerhard Rohloff Living Trust dd 7/11/05
Claimant Lawyers(s): Christopher P. Mader
Respondent(s): Jeffrey Arburn, Impact Financial Management, Whitehall-Parker Securities.
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Herbert Liberman, Edwin C. Shiver, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | Expungement |
| 08-05033 | 05/24/2010 | Claimant(s): Harry Licursi
Claimant Lawyers(s): Harry E. Licursi
Respondent(s): Alonzo Wickers, Jon Neubert, Loy Holt, Pension Planners Securities.
Respondent Lawyers(s): Christopher P. Mader, Gina Duryea
Arbitrator(s): Lester Friedman, Thomas H. O'Connor, Norman S. Nayfach
Hearing Site: San Francisco, CA
| | |
| 99-04694 | 06/04/2009 | Claimant(s): Suryakant & Sushila Patel
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Barbara Ralston, Charles Lazzaro, Drew Chalmers, First Wall Street Corp.
Respondent Lawyers(s): Christopher P. Mader, Cynthia M. Schleindl
Arbitrator(s): Steven Gourley, Luis R. Ruiz, Sheldon Stanford Ellis, Joseph Winter
Hearing Site: Phoenix, AZ
| | Expungement |
