| 10-05416 | 02/17/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Terry James
Respondent Lawyers(s): Terry E. James
Arbitrator(s): Dean J. Dietrich
Hearing Site: Seattle, WA
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| 10-05170 | 01/31/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Daniel P. Derechin
Respondent(s): Jared Poe
Respondent Lawyers(s): Jared A. Poe
Arbitrator(s): Dean J. Dietrich
Hearing Site: Los Angeles, CA
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| 10-04595 | 12/28/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Tony Sanchez
Respondent Lawyers(s): Tony D. Sanchez
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
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| 10-04235 | 11/14/2011 | Claimant(s): Catherine Pinkas
Claimant Lawyers(s): John Fu
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Frank R Weaver, Dean J. Dietrich, Bradley C. Mitchell
Hearing Site: San Francisco, CA
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| 10-03203 | 07/18/2011 | Claimant(s): Kevin Schaefer
Claimant Lawyers(s): Jason A. Pollack
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): James A. Goodman
Arbitrator(s): Carlos Richard Mangum, Peter H. Daly, Dean J. Dietrich
Hearing Site: San Francisco, CA
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| 10-03433 | 06/01/2011 | Claimant(s): Ken Rubin
Claimant Lawyers(s): Ken Rubin
Respondent(s): Joan Perry, Take Charge Financial!
Respondent Lawyers(s): Joan Perry
Arbitrator(s): Dean J. Dietrich, Jonathan H. Krotinger, David C. Tateosian
Hearing Site: San Francisco, CA
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| 08-03781 | 03/25/2011 | Claimant(s): Vincent Dang
Claimant Lawyers(s): Adam D. Mitzner
Respondent(s): Arnoldo Santiago, Cynthia Shen, Marla Moskowitz-Hesse, Merrill Lynch Pierce Fenner & Smith Inc., Michael Chiou, Patricia Williams, Riley Etheridge
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Dean J. Dietrich, Terri Coster Boesch, Susan J. Alexander
Hearing Site: San Francisco, CA
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| 10-02704 | 03/16/2011 | Claimant(s): Brian Sullivan, McLean Securities
Claimant Lawyers(s): Richard S. Miller
Respondent(s): Guy Perego, Marla Perego, Perego Properties, Perego-North Stafford, Perego-Oakwood
Respondent Lawyers(s): Richard M. Layne
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | Expungement |
| 10-03518 | 12/16/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Danny Vivian
Respondent Lawyers(s): Danny H. Vivian
Arbitrator(s): Dean J. Dietrich
Hearing Site: Los Angeles, CA
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| 10-02457 | 10/19/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Matthew Pulsipher
Respondent Lawyers(s): Matthew James Pulsipher
Arbitrator(s): Dean J. Dietrich
Hearing Site: Portland, OR
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