| 22-00898 | 04/25/2024 | Claimant(s): Margaret van Krieken, Roeland van Krieken
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Herb Schwartz, Philip Aaron Tymon, Dennis Markham Smith
Hearing Site: San Francisco, CA
|  | Expungement |
| 21-00063 | 12/23/2022 | Claimant(s): Kimberly Scherer
Claimant Lawyers(s): Kimberly K. Scherer
Respondent(s): Christopher Carolan, Morgan Stanley, John Palumbo
Respondent Lawyers(s): Jeff Palmer
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | Expungement |
| 21-01278 | 12/21/2021 | Claimant(s): Hajime Amaya
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Herbert Liberman, Herb Schwartz, Peter H. Daly
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 18-04020 | 03/08/2021 | Claimant(s): Richard Trust
Claimant Lawyers(s): Richard Trust
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Herb Schwartz, Daniel M. Yamshon, Rosalind Ramsey Tyson
Hearing Site: San Francisco, CA
| | $298,400 |
| 20-01224 | 09/11/2020 | Claimant(s): Chester Kuong
Claimant Lawyers(s): Chester Kuong
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | $125 |
| 14-03136 | 05/09/2017 | Claimant(s): Bruce Bunnell, Michele DiGregorio, Sean Bunnell
Claimant Lawyers(s): Adam B. Wolf, Jason J. Kane
Respondent(s): Dalton Strategic Investment Services Inc
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Herb Schwartz, Howard M. Hoffman, Kenneth Paul Strongman
Hearing Site: San Francisco, CA
| | $306,223 |
| 15-00748 | 08/02/2016 | Claimant(s): Charles Mugrauer
Claimant Lawyers(s): Sheila Hollander
Respondent(s): Ameriprise Financial Services., Randall Samson, Scott Esco
Respondent Lawyers(s): Chad Weaver, Elizabeth Poletti, Timothy N. Will
Arbitrator(s): Herb Schwartz, Robert Sachs Mandelson, Shirish Gupta
Hearing Site: San Francisco, CA
| | Expungement |
| 14-03414 | 02/25/2016 | Claimant(s): Stephen Slocum
Claimant Lawyers(s): Stephen J. Slocum
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Herb Schwartz, Dean J. Dietrich, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $0 |
| 14-02344 | 10/14/2015 | Claimant(s): Anthony J. Gimelli Revocable Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | Expungement |
| 11-03828 | 03/25/2013 | Claimant(s): K & M Dattani Irrevocable Trust
Claimant Lawyers(s): Andrew H. Wilson
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Herb Schwartz, Ralph A. Cotton, Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
| | Expungement |
