| 14-02314 | 11/10/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julie L. Taylor
Respondent(s): Kenneth Winn
Respondent Lawyers(s): Kenneth Allen Winn
Arbitrator(s): Carlos Richard Mangum, Thomas D. Reese, Fern M. Laethem
Hearing Site: San Francisco, CA
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| 13-01502 | 10/10/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Bradley Gardner, Daniel Catone, Michael Gibson
Respondent Lawyers(s): Alan M. Steinberg, Cary S. Lapidus
Arbitrator(s): Paul J. Dubow, Thomas D. Reese, Arocles Aguilar
Hearing Site: San Francisco, CA
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| 08-03388 | 10/30/2012 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Dermot Durnin
Respondent Lawyers(s): Dermot Durnin
Arbitrator(s): Douglas E. DeTata, Laurel Littman Gothelf, Thomas D. Reese
Hearing Site: San Francisco, CA
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| 11-01540 | 12/02/2011 | Claimant(s): Commonwealth Equity Services.
Claimant Lawyers(s): Joe Tully
Respondent(s): John Kai
Respondent Lawyers(s): John Kaleihiehie Kai
Arbitrator(s): Thomas D. Reese
Hearing Site: Honolulu, HI
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| 10-03654 | 01/31/2011 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): Joel Archer
Respondent Lawyers(s): Joel Earl Archer
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
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| 10-00773 | 01/18/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Kenneth Shaffer
Respondent Lawyers(s): Kenneth C. Shaffer
Arbitrator(s): Marlyn G. McClaskey, Laurel Littman Gothelf, Thomas D. Reese
Hearing Site: San Francisco, CA
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| 10-03894 | 01/03/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Gilbert Pugliano
Respondent Lawyers(s): Gilbert Birdinground Pugliano
Arbitrator(s): Thomas D. Reese
Hearing Site: Portland, OR
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| 09-06393 | 10/13/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Wade Cook
Respondent Lawyers(s): Wade Patrick Cook
Arbitrator(s): Thomas D. Reese
Hearing Site: Los Angeles, CA
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| 03-06793 | 12/18/2007 | Claimant(s): McLaughlin, Piven, Vogel Securities
Claimant Lawyers(s): Mark G. Vaughan
Respondent(s): Jimmie Griffith
Respondent Lawyers(s): Tania Rose
Arbitrator(s): Thomas D. Reese, William J. Petzel, Sean B. Meehan
Hearing Site: San Francisco, CA
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