| 17-03293 | 02/08/2021 | Claimant(s): Elvira Feliksa, Michael Feliksa, Elvira E. Feliksa Roth IRA, Michael J. Feliksa IRA, Michael J. Feliksa Roth IRA, Elvira E. Feliksa Trust
Claimant Lawyers(s): Deanna Besbekos-LaPage
Respondent(s): Scott Reed
Respondent Lawyers(s): Michael D. Shore
Arbitrator(s): John J. Fitzpatrick, George King, Robert James Wilkie
Hearing Site: San Francisco, CA
|  | Expungement |
| 16-03686 | 07/31/2018 | Claimant(s): Claire Scalzo, Louis Scalzo, Louis Scalzo Family Marital DED Trust, Scalzo Family Bypass Trust, Scalzo Survivors Trust
Claimant Lawyers(s): Jeffrey Pederson, Richard A. Nervig
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): David H. S. Commins, George King, Val D. Hornstein
Hearing Site: San Francisco, CA
| | Expungement |
| 16-00435 | 02/28/2018 | Claimant(s): James Johnson
Claimant Lawyers(s): William D. Brandt
Respondent(s): Bridgette Justis, Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): George King
Hearing Site: Portland, OR
| | Expungement |
| 16-00487 | 01/25/2017 | Claimant(s): James Gordon
Claimant Lawyers(s): James Gordon
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Peter M Brabbee, John J. Fitzpatrick, George King
Hearing Site: San Francisco, CA
| | $14,500 |
| 14-02264 | 11/12/2015 | Claimant(s): JSF Inv L.P.
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): John P. Wilson, George King, Vivian L. Kral
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 11-01424 | 07/12/2013 | Claimant(s): Mary Anne Barreiro
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Anthony Vlahiotis, George Carathimas, Ameritas Investment Corp.
Respondent Lawyers(s): David Wakukawa, Louis H. Castoria, Richard Sacks
Arbitrator(s): Richard L. Rubin, Nick G. Tarlson, George King
Hearing Site: San Francisco, CA
| | Expungement |
| 09-03589 | 12/10/2009 | Claimant(s): Carolyn Broughton
Claimant Lawyers(s): Carolyn Broughton
Respondent(s): Brandon Coombs, E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): George King
Hearing Site: San Francisco, CA
| | $75 |
