| 19-01892 | 07/13/2021 | Claimant(s): Susan Gordon Neal
Claimant Lawyers(s): Adam J. Stewart
Respondent(s): David Reynolds, Steven Wright, Principal Securities.
Respondent Lawyers(s): David Lee Reynolds, Kathryn Roe Eldridge
Arbitrator(s): Ralph A. Cotton, Juleanne (Julie) A. Thiebaut, Stanley Data
Hearing Site: San Francisco, CA
|  | Expungement |
| 12-04075 | 11/20/2013 | Claimant(s): Gai 08 Trust Under Agreement dd 10/15/08
Claimant Lawyers(s): Steven A. Clair
Respondent(s): Casey Knowles, Morgan Stanley & Co.
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Jonathan Holman Hathaway, Juleanne A. Thiebaut, Edwin C. Shiver
Hearing Site: San Francisco, CA
| | Expungement |
| 10-03090 | 04/10/2012 | Claimant(s): Denise Cooley
Claimant Lawyers(s): Neyleen Beljajev
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Kathryn J. Toronto, Paul D. Gutierrez, Juleanne A. Thiebaut
Hearing Site: San Francisco, CA
| | Expungement |
| 09-03867 | 09/06/2011 | Claimant(s): Patricia Neel
Claimant Lawyers(s): George S. Trevor
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona
Arbitrator(s): Richard L. Rubin, Juleanne A. Thiebaut, Mark R. Topper
Hearing Site: San Francisco, CA
| | $0 |
| 09-03908 | 08/18/2010 | Claimant(s): Barbara Wammer, Nelson Irrevocable Trust, Nelson Marital Trust
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Kenneth Myers, 1st Discount Brokerage.
Respondent Lawyers(s): Susan Yoffee
Arbitrator(s): Gary H. Kahn, Juleanne A. Thiebaut, Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $202,300 |
| 08-01412 | 08/18/2010 | Claimant(s): Gerard Chang
Claimant Lawyers(s): Gerard Chang
Respondent(s): Deborah Tharp, Citigroup Global Markets., Paul Katerndahl, Citigroup Smith Barney.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Ferdinand Schoch, Harry B. Endsley, Juleanne A. Thiebaut
Hearing Site: San Francisco, CA
| | $0 |
| 09-04335 | 06/14/2010 | Claimant(s): The Marvin McCray IRA, The McCray Living Trust UA DTD 07/30/82
Claimant Lawyers(s): Linda Hayes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Thomas C. McNally, Juleanne A. Thiebaut, Gail Killefer
Hearing Site: San Francisco, CA
| | $0 |
| 07-00197 | 10/01/2007 | Claimant(s): Anthony and Doris Campagna Irrev. Trus
Claimant Lawyers(s): Connie Janich Hamrah
Respondent(s): Douglas Hedley, Ross Galloway, UBS Financial Services Incorporated
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Ferdinand Schoch, Harry B. Endsley, Juleanne A. Thiebaut
Hearing Site: San Francisco, CA
| | $0 |
