| 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 |
| 16-00942 | 03/16/2017 | Claimant(s): Richard Koerner
Claimant Lawyers(s): Raymond D. Barber
Respondent(s): Daniel Gieseke, Douglas Ingham, Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Arocles Aguilar
Hearing Site: Honolulu, HI
| | $0 |
| 16-00294 | 07/11/2016 | Claimant(s): Pearl Oliver-Perkins
Claimant Lawyers(s): Pearl Oliver-Perkins
Respondent(s): Terry Bailey
Respondent Lawyers(s): Terry Lee Bailey
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | $2,925 |
| 14-02673 | 06/29/2016 | Claimant(s): Terry D. Johnstone, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Norman S. Nayfach, Nancy A. Yonge, Arocles Aguilar
Hearing Site: Reno, NV
| | Expungement |
| 14-02075 | 07/17/2015 | Claimant(s): Carole Smith, Michael Smith, NNN Parkway Corporate Plaza 10
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): John Notman, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): John Shaw Notman, Nicole Lomibao
Arbitrator(s): William Ziering, Carol Ann Jensen, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 14-03669 | 06/24/2015 | Claimant(s): Richard Koerner
Claimant Lawyers(s): Richard J. Koerner
Respondent(s): Douglas Ingham, Morgan Stanley
Respondent Lawyers(s): Christine A. Kendrick, Lesley V. Tepper
Arbitrator(s): Arocles Aguilar
Hearing Site: Honolulu, HI
| | $300 |
| 12-02884 | 05/29/2014 | Claimant(s): Tall Trees
Claimant Lawyers(s): Thomas Burke
Respondent(s): Gary Spitz, Mt Rushmore Securities LLC
Respondent Lawyers(s): Gary Mitchell Spitz
Arbitrator(s): Robin Lynn Berry, Mitchell S. Ostwald, Arocles Aguilar
Hearing Site: San Francisco, CA
| | $0 |
| 13-00213 | 04/29/2014 | Claimant(s): Joseph Loprieato, Peggy Loprieato
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Michael J. Fish, Arocles Aguilar, Roger Donald Bolgard
Hearing Site: San Francisco, CA
| | Expungement |
| 12-03196 | 10/25/2013 | Claimant(s): The John Thomas Caudill Revocable Living
Claimant Lawyers(s): Ginger R. Robinson
Respondent(s): Breanne Morgan, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): James N. D'Orso, John Edward Bersin, Arocles Aguilar
Hearing Site: Reno, NV
| | $0 |
| 11-00885 | 07/10/2012 | Claimant(s): Alfred Richardson, Alfred W. Richardson IRA
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Mark Sumsion, Scott Garbutt, Stonehurst Securities.
Respondent Lawyers(s): Phillip Borup, Wm. Kelly Nash
Arbitrator(s): Michelle Judy Brant, William W. Haskell, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Expungement |
