| 14-03857 | 01/13/2020 | Claimant(s): Charlotte B. Milliner SEP IRA, Charlotte B Milliner Trust dtd 1/30/1997
Claimant Lawyers(s): David Sturgeon-Garcia
Respondent(s): Mary Evans, Thomas Bock
Respondent Lawyers(s): Frances Menzer
Arbitrator(s): Herbert Liberman, Donald H. Korn, Shawn Ridgell
Hearing Site: San Francisco, CA
|  | $773,527 |
| 16-03473 | 05/17/2019 | Claimant(s): Brenda Balok, Stephen Balok
Claimant Lawyers(s): Clinton Marrs
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John Worden
Arbitrator(s): Thaddeus J. Tecza, Herbert Liberman, James Mark Eason
Hearing Site: Albuquerque, NM
| | $519,089 |
| 16-01183 | 01/02/2018 | Claimant(s): Nigel Timms
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christine A. Kendrick
Arbitrator(s): William Ziering, Herbert Liberman, Terry M Lloyd
Hearing Site: Honolulu, HI
| | Expungement |
| 16-02520 | 06/29/2017 | Claimant(s): Joan Haevernick
Claimant Lawyers(s): Linda Tran
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Quinly
Respondent Lawyers(s): Denver G. Edwards
Arbitrator(s): Herbert Liberman
Hearing Site: San Francisco, CA
| | $0 |
| 16-00933 | 04/11/2017 | Claimant(s): Stephen H. Bonney IRA, Stephen H. Bonney Living Trust dated 6/1
Claimant Lawyers(s): Randall R. Heiner
Respondent(s): Brian Weese, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Herbert Liberman, William Michael Samsel, Kevin Edward Anthony
Hearing Site: Salt Lake City, UT
| | Expungement |
| 16-01123 | 03/09/2017 | Claimant(s): Anthony Pryor
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): George W. Harding, Herbert Liberman, Walter J. Huntley
Hearing Site: Albuquerque, NM
| | $357,000 |
| 16-01107 | 11/18/2016 | Claimant(s): Arlys Dean, Darrel Dean, Darrel A. Dean Revocable Living Trust
Claimant Lawyers(s): Ross David Carmel
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Herbert Liberman, Peter M Brabbee, Kevin C. Coleman
Hearing Site: Reno, NV
| | Dismissed by Rule 12206 |
| 13-02210 | 02/05/2014 | Claimant(s): Joseph A. Miller III Trust f/b/o Joseph
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos Enrique Provencio
Arbitrator(s): Herbert Liberman
Hearing Site: Jackson, MS
| | $47,700 |
| 12-01784 | 10/14/2013 | Claimant(s): William and Ellen Byrns Trust dd 2/25/92
Claimant Lawyers(s): William C. Byrns
Respondent(s): Barbara Allen Kelsay, Wells Fargo Advisors, Sean Fansler
Respondent Lawyers(s): Barbara Allen-Kelsay, Judy Louie
Arbitrator(s): Herbert Liberman
Hearing Site: Honolulu, HI
| | Expungement |
| 10-03941 | 10/08/2012 | Claimant(s): Gerhard Rohloff, Gerhard Rohloff Living Trust dd 7/11/05
Claimant Lawyers(s): Christopher P. Mader
Respondent(s): Jeffrey Arburn, Impact Financial Management, Whitehall-Parker Securities.
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Herbert Liberman, Edwin C. Shiver, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | Expungement |
