| 10-05726 | 12/31/2012 | Claimant(s): Clara Hickle
Claimant Lawyers(s): Tanya S. Sacks
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin Fitzgerald
Arbitrator(s): Herb Schwartz, Terry M Lloyd, Joseph Berzok
Hearing Site: San Francisco, CA
|  | $0 |
| 10-02880 | 09/25/2012 | Claimant(s): Karl Townsend & Karen F. Townsend Trust
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Walter P. Hitchcock, Herb Schwartz, William A. Husa
Hearing Site: San Francisco, CA
| | Expungement |
| 07-03517 | 04/25/2012 | Claimant(s): Anna Vertkin
Claimant Lawyers(s): Mathew Martenyi
Respondent(s): E*Trade Securities LLC, Michael Vertkin
Respondent Lawyers(s): Meredith A. Felde, Michael Vertkin
Arbitrator(s): Herb Schwartz, James R. Dickson, Nick G. Tarlson
Hearing Site: San Francisco, CA
| | $0 |
| 08-02259 | 02/08/2012 | Claimant(s): Olga Basil, Pooroushasb Parineh, John Davoudi and Maro Davoudi, Majid Harirchi and Katayoun R. Harirchi, Mike Mashayekh and Jackie Mashayekh, Grace Purpura-Andriola TTEE FBO
Claimant Lawyers(s): Richard M. Kelly
Respondent(s): Farhang Oshidary, Grace Purpura-Andriola, Pari Jamshidi
Respondent Lawyers(s): Christopher Mader, Richard M. Kelly
Arbitrator(s): Herb Schwartz, Walter J. Huntley, Mary Kay Higgins Crockett
Hearing Site: San Francisco, CA
| | $370,000 |
| 10-00083 | 04/18/2011 | Claimant(s): David Harvey, Sharon Harvey, The Harvey Family Trust dtd 08/30/06
Claimant Lawyers(s): Geoffrey O. Evers
Respondent(s): Wells Fargo Investments, Matthew Medeiros
Respondent Lawyers(s): Kasumi Takahashi
Arbitrator(s): Walter P. Hitchcock, Herb Schwartz, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | Expungement |
| 09-06111 | 04/15/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen P. Gaster
Respondent(s): Carl Choy, Erin Choy, Lynn Kinney, Ronald Wo
Respondent Lawyers(s): Jerry M. Hiatt, Rex Y. Fujichaku, Susan M. Ichinose
Arbitrator(s): Herb Schwartz, Tobin B. Swanson, Richard Bruce Dole
Hearing Site: Honolulu, HI
| | $0 |
| 06-03597 | 11/06/2007 | Claimant(s): Estate of Vera L. Freeberg
Claimant Lawyers(s): Jay William Jacobus
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Herb Schwartz, Linda M. McCoy, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | $0 |
| 06-04786 | 09/27/2007 | Claimant(s): Mindy Bokser
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Andrew Israel, Anthony Kirincic, David Lindner, Jay Frost, Kirlin Securities.
Respondent Lawyers(s): Isaac M. Zucker, Jay Frost
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | Settlement |
