| 19-01960 | 11/29/2021 | Claimant(s): Claudine Webb
Claimant Lawyers(s): Alex B. Kaufman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Theodore J. Sawicki
Arbitrator(s): James C. Hoover, John James Rubin, Rebekah Ratliff
Hearing Site: Atlanta, GA
|  | $20,000 |
| 14-03557 | 03/30/2017 | Claimant(s): Alice Caputo, Antonio Gonzalez, Belia Gonzalez, Grace Magdaluyo, Gwen Shelton, Ken Mainville, Maria Lew, Marta Eckert, Marty Grogan, Robin Logan, Terry Rhoades
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard Mccollam
Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki, William P. Keith
Arbitrator(s): Carl B. Noelke, Ronald Chun, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Expungement |
| 14-01816 | 10/04/2016 | Claimant(s): Barbara Padillia, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver
Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers
Respondent(s): Royal Alliance Associates., Kathleen Tarr, Richard McCollam
Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki
Arbitrator(s): Isidoro Berkman, Peter H. Daly, Mario Singleton
Hearing Site: San Francisco, CA
| | $1,933,000 |
| 14-01724 | 04/26/2016 | Claimant(s): Evelyn Johnson, Feliciano Dizon, Frank DiGrande, Harriett Eubanks, Marina Bautista, Trilby DiGrande
Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers
Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard McCollam
Respondent Lawyers(s): Paul W. Thomas, Scott L. Metzger, Theodore J. Sawicki
Arbitrator(s): Joseph H. Sturdivant, Amy Seltzer, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $91,908 |
| 08-04669 | 12/11/2009 | Claimant(s): Mark Perlman
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Theodore J. Sawicki
Arbitrator(s): Michael Lau, Charles Hoffman, Randi Perry Spallina
Hearing Site: Boca Raton, FL
| | $43,357 |
| 07-02494 | 10/07/2008 | Claimant(s): John Gentis
Claimant Lawyers(s): Michael C. Addison
Respondent(s): ING America Equities.
Respondent Lawyers(s): Theodore J. Sawicki
Arbitrator(s): Paul Sidney Elliott, JD, William R. Turner, Stephen Earl Clark
Hearing Site: Tampa, FL
| | $100 |
