21-01716 | 07/27/2022 | Claimant(s): Diane Jones Claimant Lawyers(s): Scott Ira Batterman Respondent(s): Christ Baltas, Worden Capital Management LLC, Gregory Bodkin, Jamie Worden Respondent Lawyers(s): Charles M. O'Rourke, Christ Elias Baltas, Jamie John Worden Arbitrator(s): Robert E. Thompson, Peter H. Daly, Kenneth W. Gosliner Hearing Site: Honolulu, HI
| | $80,000 |
14-03343 | 06/07/2017 | Claimant(s): Zenaida Gantan Claimant Lawyers(s): Richard B. Fosher Respondent(s): Apex Clearing Corporation, Freedom Investors Corp., Merrimac Corporate Securities. Respondent Lawyers(s): Charles M. O'Rourke, Jonathan D. Neerman, Mark Thomes Arbitrator(s): Robert E. Thompson, Donald S. Green, Stephen A. Field Hearing Site: San Francisco, CA
| | $295,513 |
10-05679 | 04/03/2013 | Claimant(s): Akira Akagawa, Anna Liao, Mike Fuller, Seiko Akagawa, Fuller-Liao Family Trust Claimant Lawyers(s): Christopher Mader Respondent(s): Alexander Montano, Christopher Turoci, Otilia Chen Rodriguez, Shawn Crawford, Steven Goodrich, C.K. Cooper & Company. Respondent Lawyers(s): David Jarvis, Shawn E. Cowles, Shawn Patrick Crawford Arbitrator(s): Robert E. Thompson, Roslyn Terri Mandel, Richard Ullman Hearing Site: San Francisco, CA
| | $687,644 |
11-00726 | 08/02/2012 | Claimant(s): Janice Warfel, William Warfel, Antietam Industries. Claimant Lawyers(s): Jeffrey Erez Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): George D. Sullivan Arbitrator(s): Robert E. Thompson, Robert L. Chisolm, Christopher L. Mass Hearing Site: Orlando, FL
| | $233,035 |
11-02506 | 03/19/2012 | Claimant(s): Margaux Loretz, Michael Loretz, Stone & Associates APC Profit Sharing Pl Claimant Lawyers(s): Colette F. Stone Respondent(s): George Sellers, James Brandt, UBS Financial Services Inc., Robert Schneider Respondent Lawyers(s): Julie A. Cole Arbitrator(s): Robert E. Thompson Hearing Site: San Francisco, CA
| | Expungement |
09-00403 | 03/14/2011 | Claimant(s): Matthew Lam Claimant Lawyers(s): Howard M. Hoffman Respondent(s): Jesse Ramos, Charles Schwab & Co.. Respondent Lawyers(s): Garrett R. Wynne Arbitrator(s): Robert E. Thompson, Laurel Littman Gothelf, William A. Husa Hearing Site: San Francisco, CA
| | Expungement |
09-01333 | 09/20/2010 | Claimant(s): George Grant Claimant Lawyers(s): George R. Grant Respondent(s): Dave Samuels, Sagepoint Financial. Respondent Lawyers(s): Louis H. Castoria Arbitrator(s): Robert E. Thompson Hearing Site: San Francisco, CA
| | $39,000 |
09-03291 | 07/23/2010 | Claimant(s): Evelyn Dias, Melvin Dias Claimant Lawyers(s): Scott R. Shewan Respondent(s): The Concord Equity Group Respondent Lawyers(s): Barry M. Bordetsky Arbitrator(s): Robert E. Thompson, Richard B. Bullock, Walter J. Huntley Hearing Site: San Francisco, CA
| | $827,000 |
08-04984 | 08/03/2009 | Claimant(s): The Schaer Trust U/A DTD 03/10/2006 Claimant Lawyers(s): Marnie C. Lambert Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Evelyn A. Christensen Arbitrator(s): Robert E. Thompson Hearing Site: San Francisco, CA
| | $16,429 |