| 18-02775 | 04/11/2019 | Claimant(s): Scott Hultsman
Claimant Lawyers(s): Amir Tadjedin
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Timnothy A. Menezes
Arbitrator(s): Linda M. McCoy, Peter H. Daly, John J. Fitzpatrick
Hearing Site: San Francisco, CA
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| 18-02027 | 01/29/2019 | Claimant(s): Timothy Sullivan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SII Investments.
Respondent Lawyers(s): Louie Castoria
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
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| 18-00578 | 12/28/2018 | Claimant(s): Shawn Richardson
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Geoffrey S. Beckham
Arbitrator(s): Peter H. Daly
Hearing Site: Seattle, WA
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| 15-02864 | 08/05/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Karimah Karah
Respondent Lawyers(s): Robert Diskint
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
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| 14-01912 | 12/19/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Ben Schwartz, Simplified Employee Plan,Ben I. Schwartz, Schwartz Commercial Realty Defined Benef
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Peter H. Daly, Jeffrey Schubert, Shawn Ridgell
Hearing Site: San Francisco, CA
| | Expungement |
| 11-01992 | 12/17/2012 | Claimant(s): Thomas Meagher
Claimant Lawyers(s): James L. Parks
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): David J. Reis
Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Douglas J. Pavese
Hearing Site: San Francisco, CA
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| 12-00501 | 11/14/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Deron Kartoon
Respondent Lawyers(s): Deron A. Kartoon
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
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| 12-00606 | 10/12/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Mera Tawfik-Oshana
Respondent Lawyers(s): Richard D. Schramm
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
| | |
| 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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| 09-01741 | 04/07/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Gillimore
Respondent Lawyers(s): Richard A. Hoyer
Arbitrator(s): Nancy Hutt, Peter H. Daly, Harvey M. Baraban
Hearing Site: San Francisco, CA
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