11-00800 | 03/16/2012 | Claimant(s): David Taylor Claimant Lawyers(s): William R. Warne Respondent(s): Wells Fargo Investments Respondent Lawyers(s): Gordon C. Young Arbitrator(s): Ferdinand Schoch, Laurel Littman Gothelf Hearing Site: San Francisco, CA
| | Expungement |
09-03660 | 02/16/2012 | Claimant(s): Claimant Lawyers(s): Respondent(s): Fuad Mansour, Signator Investors., John Hancock Mutual Life Insurance Com Respondent Lawyers(s): John C. Holmes, Mark J Hancock, William A. Gottlieb Arbitrator(s): Ferdinand Schoch, Robert Hilton Keller, Edward J. Harkins Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
09-06643 | 01/11/2012 | Claimant(s): Aslam Ahmed, Ayfer Ahmed Claimant Lawyers(s): Irwin Stein Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Crow, Patricia Williams Respondent Lawyers(s): Eric J. Glassman Arbitrator(s): Ferdinand Schoch, Ronald Chun, Charles Eugene Markley Hearing Site: San Francisco, CA
| | $0 |
10-02632 | 01/06/2012 | Claimant(s): Kline Enterprises. Claimant Lawyers(s): Richard M. Layne Respondent(s): Securities America., Thomas Goodson, William Rice, Brecek & Young Advisors. Respondent Lawyers(s): Brandon S. Reif, Chad E. Weaver, Terrance DeWald Arbitrator(s): Ferdinand Schoch, Alexandra M. Linden, Fern M. Laethem Hearing Site: Los Angeles, CA
| | $0 |
10-05677 | 11/28/2011 | Claimant(s): Cynthia Stirling, Cynthia L. Stirling IRA Rollover, Cynthia L. Stirling SEP IRA, Cynthia L. Stirling Living Trust, Cynthi Claimant Lawyers(s): James R. Walsh Respondent(s): Wells Fargo Advisors, James Dowley Respondent Lawyers(s): Philip A. McLeod Arbitrator(s): Helen Marinak Blohm, Mary Curran, Ferdinand Schoch Hearing Site: San Francisco, CA
| | $0 |
10-05028 | 09/30/2011 | Claimant(s): William Dale Kelly and Joan Hull Trust Claimant Lawyers(s): Benjamin Lapin Respondent(s): Lawrence Miller, Investment Security Corporation Respondent Lawyers(s): Lawrence Benjamin Miller, Lee David Lubin Arbitrator(s): Ferdinand Schoch, Gary S. DeWeese, Richard Ullman Hearing Site: San Francisco, CA
| | $0 |
10-00040 | 04/29/2011 | Claimant(s): Barry Burgess Claimant Lawyers(s): Barry Burgess Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Melissa M. Muehlfeld Arbitrator(s): Ferdinand Schoch, F. Conger Fawcett, Gary H. Kahn Hearing Site: San Francisco, CA
| | $0 |
08-01412 | 08/18/2010 | Claimant(s): Gerard Chang Claimant Lawyers(s): Gerard Chang Respondent(s): Deborah Tharp, Citigroup Global Markets., Paul Katerndahl, Citigroup Smith Barney. Respondent Lawyers(s): Joseph L. Calabrese Arbitrator(s): Ferdinand Schoch, Harry B. Endsley, Juleanne A. Thiebaut Hearing Site: San Francisco, CA
| | $0 |
07-01411 | 06/02/2009 | Claimant(s): Steven Wierzba Claimant Lawyers(s): Steven Wierzba Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John E. Bersin Arbitrator(s): Ferdinand Schoch, Thomas H. O'Connor, Paul D. Gutierrez Hearing Site: San Francisco, CA
| | $0 |
07-01852 | 12/21/2007 | Claimant(s): Keith Kritikakos and Hollis L. Orvik Claimant Lawyers(s): Keith A. Kritikakos Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Payne L. Templeton Arbitrator(s): Ferdinand Schoch Hearing Site: San Francisco, CA
| | $125 |