| 11-00987 | 10/16/2013 | Claimant(s): Raymond Tate
Claimant Lawyers(s): Kim Michael
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea G. Lisenbee
Arbitrator(s): Robert S. Mautner, Richard Marc Weinroth, Deborah Miriam Lavinsky
Hearing Site: Phoenix, AZ
| | |
| 12-01859 | 10/16/2013 | Claimant(s): Joan Teachworth, Walter Teachworth
Claimant Lawyers(s): Mark C. Watler
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management,
Respondent Lawyers(s): Michael West
Arbitrator(s): Mary Ann Tunick, Thomas A. Cipolla, Raymond C. Kerr
Hearing Site: Houston, TX
| | Expungement |
| 12-02241 | 10/16/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Babak Yousefzadeh
Respondent(s): Christopher Oster
Respondent Lawyers(s): Christopher William Oster
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 13-01075 | 10/15/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Donald McBirney
Respondent Lawyers(s): Donald James Mcbirney
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | |
| 13-00361 | 10/14/2013 | Claimant(s): Jeremy Gove, Michael Digaetano
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Judith Moomey, Larry Moomey
Respondent Lawyers(s): Kalju Nekvasil
Arbitrator(s): Frank D. Connett, James E. Michaels, Albert Bernard Kerkhove
Hearing Site: Omaha, NE
| | Expungement |
| 13-01043 | 10/14/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Montague Henry
Respondent Lawyers(s): Montague Stephan Henry
Arbitrator(s): Christine Moore
Hearing Site: New York, NY
| | |
| 12-00605 | 10/11/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Ramin Hashemi
Respondent Lawyers(s): Ramin Hashemi
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | |
| 12-03726 | 10/10/2013 | Claimant(s): Jon Arnold
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Jeffrey M. Bain, Charles D. Underwood, John B. Glueckert
Hearing Site: Columbus, OH
| | |
| 13-00365 | 10/10/2013 | Claimant(s): Jason Coles
Claimant Lawyers(s): Christine A. Page
Respondent(s): Wells Fargo Investments, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea, Thomas F. Kopshever
Arbitrator(s): Thomas J. Doherty, Randy R. Maher, Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 13-01597 | 10/10/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | |
