17-00747 | 08/18/2017 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Kevin J. Woods Respondent(s): James Stanton Respondent Lawyers(s): James William Stanton Arbitrator(s): Sterling N. Frost Hearing Site: San Francisco, CA
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17-00155 | 06/08/2017 | Claimant(s): Kathleen Eckerson Claimant Lawyers(s): Kathleen Ann Eckerson Respondent(s): LPL Financial LLC Respondent Lawyers(s): Kirsten Patzer Arbitrator(s): Sterling N. Frost Hearing Site: San Francisco, CA
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15-00528 | 03/09/2016 | Claimant(s): Dennis Dai Claimant Lawyers(s): Anna M. Rossi Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): James C. Browning Arbitrator(s): Sterling N. Frost, Mary H. Evans, John Burritt McArthur Hearing Site: San Francisco, CA
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15-00105 | 06/18/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Jonathan Berg Respondent(s): Michael Lauer Respondent Lawyers(s): Michael Harris Lauer Arbitrator(s): Sterling N. Frost Hearing Site: San Francisco, CA
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14-03096 | 03/27/2015 | Claimant(s): Randall Krenzin Claimant Lawyers(s): Patrick R. Mahoney Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Sterling N. Frost Hearing Site: San Francisco, CA
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13-01720 | 11/24/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Jonathan Berg Respondent(s): Mark Gillelen Respondent Lawyers(s): Mark Calvin Gillelen Arbitrator(s): Sterling N. Frost Hearing Site: San Francisco, CA
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13-00011 | 10/22/2014 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Timothy N. Will Respondent(s): Respondent Lawyers(s): Arbitrator(s): Sterling N. Frost Hearing Site: San Francisco, CA
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13-00765 | 08/06/2014 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Timothy N. Will Respondent(s): Jimmy Stroud Respondent Lawyers(s): Jimmy Clayton Stroud Arbitrator(s): Sterling N. Frost Hearing Site: San Francisco, CA
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10-04109 | 03/31/2014 | Claimant(s): Lehman Brothers Inc. Claimant Lawyers(s): Victor A. Machcinski Respondent(s): Christopher Clifford Respondent Lawyers(s): Edward S. Zusman Arbitrator(s): Gary A. Hooker, Sterling N. Frost, Michael J. Fish Hearing Site: San Francisco, CA
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12-02430 | 01/23/2013 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Patrick R. Mahoney Respondent(s): Karl Townsend, Karen Fann Townsend Trust Respondent Lawyers(s): Thomas D. Mauriello Arbitrator(s): Sterling N. Frost, James R. Dickson, D. Peter Gleichenhaus Hearing Site: San Francisco, CA
| | Expungement |