| 17-01547 | 05/24/2018 | Claimant(s): Peter Lawrence, The Norma S. Pappas Trust U/A 7/12/1993
Claimant Lawyers(s): Jeremy Scott Hyndman
Respondent(s): Bao Vu, TD Ameritrade., Steve Kim
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): Helen Marinak Blohm, Dean J. Dietrich, Bradley C. Mitchell
Hearing Site: San Francisco, CA
|  | $0 |
| 15-01635 | 01/19/2017 | Claimant(s): Alan Barrett, Margaret Barrett
Claimant Lawyers(s): Robert B. Ingram
Respondent(s): LPL Financial LLC, Ernest Renner, Steven Lambert
Respondent Lawyers(s): Amir Tadjedin, Ryan Probstfeld, Thomas Franklin Barnett
Arbitrator(s): Thomas D. Reese, Jonathan H. Krotinger, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | $0 |
| 10-00241 | 10/18/2011 | Claimant(s): Martin Padilla, Ronald Rzesniowiecki, Sherlock Revocable Living Trust
Claimant Lawyers(s): Brian Levin
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Walter P. Hitchcock, Linda M. McCoy, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | Expungement |
| 08-04701 | 09/23/2009 | Claimant(s): Paul Edwards
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Charles Schwab & Co.., Randall Merk, Rupesh Shah
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Ralph A. Cotton, Terry M Lloyd, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | $25,000 |
| 08-01036 | 05/08/2009 | Claimant(s): Bonnie Burdett & Joyce Anthony TTees of
Claimant Lawyers(s): George S. Trevor
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Helen Marinak Blohm, Bradley C. Mitchell, Fred D. Butler
Hearing Site: San Francisco, CA
| | $0 |
| 03-02127 | 11/02/2007 | Claimant(s): William F. Garland
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Dale Low, Eric Salz, Charles Schwab & Co.., Samuel Berger, SDR Capital Management.
Respondent Lawyers(s): Brian A. Carlis, Richard A. Karoly
Arbitrator(s): Sterling N. Frost, Peter Kassel, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
| 03-02289 | 08/13/2007 | Claimant(s): Sandra Murray, Charles G. & Sandra Murray Living Trus
Claimant Lawyers(s): Sandra Murray
Respondent(s): Andrew Fairchild, J.P. Morgan Clearing Corp., A.G. Edwards & Sons., Ronald Kabat, PMG Securities Corporation
Respondent Lawyers(s): Andrew J. Fairchild, Henry Wang, Jeffrey W. Coverdell, Ronald S. Kabat
Arbitrator(s): Robin Lynn Berry, Jonathan H. Krotinger, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | $0 |
