| 13-03274 | 03/31/2015 | Claimant(s): Roberta Franklin, The Downey Brand, LLP Employment Retirem, Roberta Lee Franklin IRA
Claimant Lawyers(s): Roberta Lee Franklin
Respondent(s): Edward Stadjuhar, Sagepoint Financial., Strategic Wealth Advisors Group
Respondent Lawyers(s): Gregory T. Fayard, Kasumi L. Takahashi
Arbitrator(s): Ralph A. Cotton, Michael J. Fish, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
|  | Expungement |
| 13-00213 | 04/29/2014 | Claimant(s): Joseph Loprieato, Peggy Loprieato
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Michael J. Fish, Arocles Aguilar, Roger Donald Bolgard
Hearing Site: San Francisco, CA
| | Expungement |
| 08-04498 | 01/06/2012 | Claimant(s): Judith Rutherford
Claimant Lawyers(s): Judith Rutherford
Respondent(s): Andrew Anagnostou, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Richard B. Bullock, James S. Martin, Michael J. Fish
Hearing Site: San Francisco, CA
| | $0 |
| 10-01847 | 08/26/2011 | Claimant(s): George Putnam
Claimant Lawyers(s): Justin T. Berger
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Frank R Weaver, Michael J. Fish, Kevin C. Coleman
Hearing Site: San Francisco, CA
| | $127,944 |
| 09-01635 | 12/16/2009 | Claimant(s): Estate of Chaille M. Love, Deceased
Claimant Lawyers(s): H. Lee Horner
Respondent(s): Lisaann Nouchi, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Robert M. Lubin, Michael J. Fish, Alan Richard Carlisle
Hearing Site: San Francisco, CA
| | $0 |
