| 20-03285 | 04/28/2021 | Claimant(s): William Biddle
Claimant Lawyers(s): Damon Booth
Respondent(s): Edward Jones, Michael Goodwin
Respondent Lawyers(s): Bentley P. Stansbury, Michael Goodwin
Arbitrator(s): Carlos Richard Mangum, David J. Romanski, Arocles Aguilar
Hearing Site: Reno, NV
|  | Expungement |
| 17-01023 | 06/13/2018 | Claimant(s): Leslie Baronian, The Birgitta Baronian Decedent's Trust
Claimant Lawyers(s): Cary S. Lapidus, Nancy C. Field
Respondent(s): Dustin Brown, RBC Capital Markets LLC
Respondent Lawyers(s): Abe Lampart, Michael M. Gless
Arbitrator(s): Carlos Richard Mangum, Minnie Loo, Kenneth Paul Strongman
Hearing Site: San Francisco, CA
| | Expungement |
| 16-00720 | 01/31/2018 | Claimant(s): Jerry McMillon, Jerry A. McMillon Living Trust Under Agr
Claimant Lawyers(s): Mark A. Pruner
Respondent(s): Jason Jaffee, Wells Fargo Advisors, Wells Fargo Securities, John Lee, Wells Fargo Company
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Carlos Richard Mangum, Dean J. Dietrich, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Expungement |
| 10-03787 | 08/30/2013 | Claimant(s): Snow Jaynes, Snow Jaynes IRA, Snow E. Jaynes Living Trust 09/01/1999
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Daniel Shea
Respondent Lawyers(s): Daniel Shea
Arbitrator(s): Carlos Richard Mangum, Philip Aaron Tymon, Fern M. Laethem
Hearing Site: Los Angeles, CA
| | $442,070 |
| 11-01906 | 07/20/2012 | Claimant(s): Mary-Louise Shaheen
Claimant Lawyers(s): Mary-Louise Shaheen
Respondent(s): Morgan Stanley, Paul Witte
Respondent Lawyers(s): Kenneth J. Haim, Raul Sanchez
Arbitrator(s): Carlos Richard Mangum, Herbert Liberman, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 09-04864 | 10/11/2010 | Claimant(s): Steve Miura
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Kimon Peter Daifotis
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Carlos Richard Mangum, Jonathan H. Krotinger, Hadden Wing Roth
Hearing Site: San Francisco, CA
| | $0 |
| 08-01325 | 08/28/2009 | Claimant(s): Olivia Herman
Claimant Lawyers(s): Frederick Herman
Respondent(s): Colleen Langs, Charles Schwab & Co.., Marcia Novick
Respondent Lawyers(s): Cameron Stout
Arbitrator(s): Carlos Richard Mangum, James N. D'Orso, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
