| 16-03422 | 03/08/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): David C. Roth
Respondent(s): Joseph Sweeney
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Daniel M. Yamshon, Dean J. Dietrich, Carol Ann Jensen
Hearing Site: San Francisco, CA
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| 13-03227 | 05/18/2015 | Claimant(s): Cindy Shi
Claimant Lawyers(s): Cindy Shu-Way Shi
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Melissa Raphan
Arbitrator(s): Nicholas J. Caputo, Carol Ann Jensen, Sarah Jane Militello
Hearing Site: San Francisco, CA
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| 11-04623 | 08/07/2014 | Claimant(s): Justin Miller
Claimant Lawyers(s): Marie Mirch
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Ralph A. Cotton, Bradley C. Mitchell, Carol Ann Jensen
Hearing Site: San Francisco, CA
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| 08-04621 | 12/06/2013 | Claimant(s): Joseph Seidler
Claimant Lawyers(s): Patrick Gillette
Respondent(s): Wachovia Securities, Kevin Kitchin
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Elmo E. Wedderburn, Joseph M. O'Connor, Carol Ann Jensen
Hearing Site: San Francisco, CA
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| 10-04271 | 06/15/2012 | Claimant(s): Ricardo Rangel
Claimant Lawyers(s): Marie Mirch
Respondent(s): Chase Investment Services Corp., John Quinn, Pamela Taylor, Robert Garrett, Russell Fletcher, Scott Mccullah
Respondent Lawyers(s): Jeffrey A. Wortman
Arbitrator(s): Joseph M. O'Connor, Carol Ann Jensen, William Kenneth Wesley
Hearing Site: San Francisco, CA
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| 09-04961 | 02/22/2012 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): William Zurn
Respondent Lawyers(s): Jeffrey L. Malek
Arbitrator(s): Alvin L. Fishman, Amy Seltzer, Carol Ann Jensen
Hearing Site: San Francisco, CA
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| 07-02582 | 08/26/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Eun-Joo Chang
Respondent Lawyers(s): Ekwan E. Rhow
Arbitrator(s): Alexander L. Mazour, Carol Ann Jensen, Daniel M. Yamshon
Hearing Site: San Francisco, CA
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