| 11-03868 | 08/28/2013 | Claimant(s): Timothy Donaldson
Claimant Lawyers(s): Timothy Donaldson
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Thomas C. McNally, Robert H. Cornell, Kenneth W. Gosliner
Hearing Site: Honolulu, HI
|  | Expungement |
| 10-02592 | 09/27/2011 | Claimant(s): June Shore, June F. Shore IRA FBO June F. Shore, The June F. Shore Living Trust
Claimant Lawyers(s): Thomas M. Campbell
Respondent(s): Gary Gardner, Life Wealth Advisors.
Respondent Lawyers(s): Alan W. Sparer, Kevin H. Lewis
Arbitrator(s): William Ziering, Thomas C. McNally, John B. Weingart
Hearing Site: San Francisco, CA
| | Stipulated Award |
| 10-01700 | 08/04/2011 | Claimant(s): R. Emigh, R. Kent Emigh Trust dd 1/31/1986
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wedbush Securities Inc., Lisa Gallo
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Thomas C. McNally, Ralph A. Cotton, Louis Anthony Napoli
Hearing Site: San Francisco, CA
| | $0 |
| 09-04335 | 06/14/2010 | Claimant(s): The Marvin McCray IRA, The McCray Living Trust UA DTD 07/30/82
Claimant Lawyers(s): Linda Hayes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Thomas C. McNally, Juleanne A. Thiebaut, Gail Killefer
Hearing Site: San Francisco, CA
| | $0 |
| 08-00097 | 08/03/2009 | Claimant(s): Estate of Vera Dennington, Gordon Axton, Norma Axton, Shepard Smith
Claimant Lawyers(s): Jason Pang Fe Lee
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Thomas C. McNally, Donald H. Korn, Thomas E. Quinlin
Hearing Site: San Francisco, CA
| | $146,515 |
| 08-01035 | 07/08/2009 | Claimant(s): Lanfear Capital Advisers
Claimant Lawyers(s): Paul B. Nesbitt
Respondent(s): Rani Jarkas, Global Crown Capital, Llc
Respondent Lawyers(s): David G. Finkelstein, Melvin K. Patterson
Arbitrator(s): Thomas C. McNally, Marvin G. Breen, Roberta R. Jeffrey
Hearing Site: San Francisco, CA
| | $1,688,000 |
| 08-00841 | 11/19/2008 | Claimant(s): Emily Martin Revocable Living Trust
Claimant Lawyers(s): Brett Alcala
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Thomas C. McNally, David R. Finch, Mary H. Evans
Hearing Site: San Francisco, CA
| | $105,550 |
