| 16-02497 | 05/26/2017 | Claimant(s): Yagil Hertzberg
Claimant Lawyers(s): Yagil Hertzberg
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Matthew H. Ladner
Arbitrator(s): Barbara M. Anscher
Hearing Site: San Francisco, CA
|  | $0 |
| 14-03136 | 05/09/2017 | Claimant(s): Bruce Bunnell, Michele DiGregorio, Sean Bunnell
Claimant Lawyers(s): Adam B. Wolf, Jason J. Kane
Respondent(s): Dalton Strategic Investment Services Inc
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Herb Schwartz, Howard M. Hoffman, Kenneth Paul Strongman
Hearing Site: San Francisco, CA
| | $306,223 |
| 16-00027 | 04/26/2017 | Claimant(s): Richard Trust
Claimant Lawyers(s): Stan Schuldiner
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): John J. Flynn, Thomas D. Reese, William J. Petzel
Hearing Site: San Francisco, CA
| | $27,642 |
| 15-02201 | 04/13/2017 | Claimant(s): Lek Securities Corporation
Claimant Lawyers(s): David Wrobel
Respondent(s): Robert Wolfson
Respondent Lawyers(s): Robert A. Wolfson
Arbitrator(s): Gary Timothy Haight, Barbara M. Anscher, Christopher J. Hadsell
Hearing Site: San Francisco, CA
| | $0 |
| 14-03557 | 03/30/2017 | Claimant(s): Alice Caputo, Antonio Gonzalez, Belia Gonzalez, Grace Magdaluyo, Gwen Shelton, Ken Mainville, Maria Lew, Marta Eckert, Marty Grogan, Robin Logan, Terry Rhoades
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard Mccollam
Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki, William P. Keith
Arbitrator(s): Carl B. Noelke, Ronald Chun, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Expungement |
| 15-02267 | 03/21/2017 | Claimant(s): Barbara Morris, Barbara L. Morris Revocable Trust, Charles F. Morris, Jr. Irrevocable Trust
Claimant Lawyers(s): Douglas W. Oldfield
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Ben Suter
Arbitrator(s): John P. Wilson, Jonathan H. Krotinger, William J. Petzel
Hearing Site: San Francisco, CA
| | $500,375 |
| 16-00476 | 03/01/2017 | Claimant(s): Swinder Chhina
Claimant Lawyers(s): Swinder S. Chhina
Respondent(s): Sagepoint Financial., Rajvinder Budwal
Respondent Lawyers(s): Theodore C. Peters
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | $0 |
| 16-01451 | 01/31/2017 | Claimant(s): Sussan Hashemi
Claimant Lawyers(s): Sussan Hashemi
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Meredith A. Faro
Arbitrator(s): William Ziering
Hearing Site: San Francisco, CA
| | $13,585 |
| 14-02515 | 01/27/2017 | Claimant(s): Lyn Freeman, Lyn A Freeman Revocable Trust U/A11/5/12
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Jonathan Lee, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): David Wakukawa, Edward Zusman
Arbitrator(s): Jonathan H. Krotinger, Urs Laeuchli, Robert James Favole
Hearing Site: San Francisco, CA
| | Expungement |
| 16-00487 | 01/25/2017 | Claimant(s): James Gordon
Claimant Lawyers(s): James Gordon
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Peter M Brabbee, John J. Fitzpatrick, George King
Hearing Site: San Francisco, CA
| | $14,500 |
