| 22-01150 | 02/07/2023 | Claimant(s): Patric Stibbe
Claimant Lawyers(s): Patric Stibbe
Respondent(s): T3 Trading Group
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): John J. Flynn, David I. Levine, Timothy P. Bogan
Hearing Site: San Francisco, CA
| | |
| 20-00690 | 05/05/2022 | Claimant(s): Richard McCollam
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): John J. Flynn, William W. Haskell, Douglas J. Pavese
Hearing Site: San Francisco, CA
| | |
| 20-01465 | 01/28/2021 | Claimant(s): Brian Addington
Claimant Lawyers(s): Brian Luther
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
| | |
| 19-02918 | 02/14/2020 | Claimant(s): Vedran Pogacnik
Claimant Lawyers(s): Vedran Pogacnik
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
|  | $25 |
| 16-02314 | 11/22/2017 | Claimant(s): Robert Leech, Robert W. Leech IRA, The Leech Family Trust
Claimant Lawyers(s): Tom Leech
Respondent(s): Wells Fargo Advisors, Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper, Michael Naccarato
Arbitrator(s): John J. Flynn, Kevin C. Coleman, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | Expungement |
| 16-00027 | 04/26/2017 | Claimant(s): Richard Trust
Claimant Lawyers(s): Stan Schuldiner
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): John J. Flynn, Thomas D. Reese, William J. Petzel
Hearing Site: San Francisco, CA
| | $27,642 |
| 15-02022 | 04/18/2016 | Claimant(s): The Weber Family Trust
Claimant Lawyers(s): Sidney Joel Weber
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
| | $25 |
| 15-01634 | 03/16/2016 | Claimant(s): Michael L. Kennedy 1998 Trust
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Nicole Lomibao
Arbitrator(s): John J. Flynn, Robert H. Cornell, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 15-02041 | 12/24/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Michael Hampton
Respondent Lawyers(s): Michael Dennis Hampton
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
| | |
| 15-00764 | 11/03/2015 | Claimant(s): Monetary Management Corporation
Claimant Lawyers(s): Stevenson Browne
Respondent(s): Bats Trading.
Respondent Lawyers(s): Bryan Upp
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
| | $0 |
