| 15-02267 | 03/21/2017 | Claimant(s): Barbara Morris, Barbara L. Morris Revocable Trust, Charles F. Morris, Jr. Irrevocable Trust
Claimant Lawyers(s): Douglas W. Oldfield
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Ben Suter
Arbitrator(s): John P. Wilson, Jonathan H. Krotinger, William J. Petzel
Hearing Site: San Francisco, CA
|  | $500,375 |
| 15-00701 | 05/31/2016 | Claimant(s): Ted Mazurek
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Oppenheimer & Co.., John Wilson
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Emily B. Boote, David F. Schmitz, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 12-03692 | 04/11/2016 | Claimant(s): Herbert Madan, Herbert S. Madan Revocable Trust UAD Apr
Claimant Lawyers(s): John D. Singer
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Jen Machlin
Arbitrator(s): John P. Wilson, Linda M. McCoy, Kenneth W. Gosliner
Hearing Site: San Francisco, CA
| | Expungement |
| 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 |
| 12-03552 | 02/11/2014 | Claimant(s): Laura Lambert, Scott Lambert
Claimant Lawyers(s): Joseph Wood
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): John P. Wilson, John J. Fitzpatrick, Walter F. Dillaway
Hearing Site: San Francisco, CA
| | $0 |
| 09-01822 | 06/04/2010 | Claimant(s): JoAnne Simas, Joseph Simas
Claimant Lawyers(s): Mitchell Albert
Respondent(s): WAMU Investments., Jim McElravy
Respondent Lawyers(s): Robert J. Stumpf
Arbitrator(s): Donald S. Duerson, John P. Wilson, Walter J. Huntley
Hearing Site: San Francisco, CA
| | $350,000 |
| 08-00022 | 05/23/2008 | Claimant(s): ANJ Corporation
Claimant Lawyers(s): John Wilson
Respondent(s): Euro Pacific Capital.
Respondent Lawyers(s): Michael Carroll
Arbitrator(s): Michael Nathanson
Hearing Site: Chicago, IL
| | $12,000 |
