| 15-00885 | 07/26/2016 | Claimant(s): Roscoe Goehring, Sally Goehring
Claimant Lawyers(s): Sheila Hollander
Respondent(s): Ameriprise Financial Services., Randall Samson, Scott Esco
Respondent Lawyers(s): Chad Weaver, Elizabeth Poletti, Timothy N. Will
Arbitrator(s): Isidoro Berkman, Sterling N. Frost, Michael Craig Butterworth
Hearing Site: San Francisco, CA
|  | Expungement |
| 14-02204 | 07/12/2016 | Claimant(s): Latif Ziyar
Claimant Lawyers(s): Brian N. Folland
Respondent(s): Jerry Lawless, Investment Centers Of America.
Respondent Lawyers(s): Jeffrey E. Fields
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | $4,550 |
| 16-00294 | 07/11/2016 | Claimant(s): Pearl Oliver-Perkins
Claimant Lawyers(s): Pearl Oliver-Perkins
Respondent(s): Terry Bailey
Respondent Lawyers(s): Terry Lee Bailey
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | $2,925 |
| 15-00756 | 05/06/2016 | Claimant(s): Iraj Zandi
Claimant Lawyers(s): Michael S. Treppa
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | $30,225 |
| 14-01724 | 04/26/2016 | Claimant(s): Evelyn Johnson, Feliciano Dizon, Frank DiGrande, Harriett Eubanks, Marina Bautista, Trilby DiGrande
Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers
Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard McCollam
Respondent Lawyers(s): Paul W. Thomas, Scott L. Metzger, Theodore J. Sawicki
Arbitrator(s): Joseph H. Sturdivant, Amy Seltzer, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $91,908 |
| 15-02022 | 04/18/2016 | Claimant(s): The Weber Family Trust
Claimant Lawyers(s): Sidney Joel Weber
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
| | $25 |
| 12-03692 | 04/11/2016 | Claimant(s): Herbert Madan, Herbert S. Madan Revocable Trust UAD Apr
Claimant Lawyers(s): John D. Singer
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Jen Machlin
Arbitrator(s): John P. Wilson, Linda M. McCoy, Kenneth W. Gosliner
Hearing Site: San Francisco, CA
| | Expungement |
| 15-01634 | 03/16/2016 | Claimant(s): Michael L. Kennedy 1998 Trust
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Nicole Lomibao
Arbitrator(s): John J. Flynn, Robert H. Cornell, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 14-03414 | 02/25/2016 | Claimant(s): Stephen Slocum
Claimant Lawyers(s): Stephen J. Slocum
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Herb Schwartz, Dean J. Dietrich, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $0 |
| 14-01300 | 02/04/2016 | Claimant(s): Dhruv Khanna, Surita Degan, The 1999 Dhruv Khanna Charitable Trust, The Khanna Children's Irrevocable Trust
Claimant Lawyers(s): Karl Olson
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Patrick P. Gunn
Arbitrator(s): Nancy Hutt, William W. Haskell, Vivian L. Kral
Hearing Site: San Francisco, CA
| | $0 |
