| 14-00322 | 02/01/2016 | Claimant(s): Gary Anglen
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Brookville Capital Partners
Respondent Lawyers(s): Brett D. Zinner
Arbitrator(s): Barbara M. Anscher
Hearing Site: San Francisco, CA
|  | $0 |
| 16-00121 | 01/27/2016 | Claimant(s): Barbara Padilla, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): Brent Wolf
Respondent Lawyers(s): Scott L. Metzger
Arbitrator(s): Alexandra M. Linden, Thomas D. Reese, Peter H. Daly
Hearing Site: San Francisco, CA
| | Expungement |
| 13-03071 | 12/02/2015 | Claimant(s): Genesis Venture Capital Corporation, S.E.A. Land Development
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): TD Ameritrade., Thinkorswim.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Isidoro Berkman, Sterling N. Frost, Douglas J. Pavese
Hearing Site: San Francisco, CA
| | $0 |
| 14-02264 | 11/12/2015 | Claimant(s): JSF Inv L.P.
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): John P. Wilson, George King, Vivian L. Kral
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 13-03250 | 11/05/2015 | Claimant(s): Alexandria Nicolai, Jeffrey Nicolai, Jennifer Tiscornia-Steere, Katherine Nicolai, Mary Tiscornia, Michael Nicolai, Nicholas Toussaint, The San Francisco Gravel Co. Inc. Profit, The Nicholas & Susan Toussaint Trust
Claimant Lawyers(s): Jeffrey M. Nicolai
Respondent(s): Wedbush Securities Inc., Kevin Scarpelli
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Donald S. Green, Norman S. Nayfach, Robert James Wilkie
Hearing Site: San Francisco, CA
| | $813,475 |
| 15-00764 | 11/03/2015 | Claimant(s): Monetary Management Corporation
Claimant Lawyers(s): Stevenson Browne
Respondent(s): Bats Trading.
Respondent Lawyers(s): Bryan Upp
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
| | $0 |
| 15-00311 | 11/02/2015 | Claimant(s): Margaret Lucas
Claimant Lawyers(s): John R. Bobay
Respondent(s): Manning & Napier Investor Services.
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Helen Marinak Blohm, Debra Brothers Self, Philip Ho
Hearing Site: San Francisco, CA
| | $0 |
| 14-02344 | 10/14/2015 | Claimant(s): Anthony J. Gimelli Revocable Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01405 | 09/15/2015 | Claimant(s): Koko Flowers, Thomas E. Flowers Charitable Trust, Koko Fujita Charitable Trust dd 12/31/96, Thomas E. Flowers & Koko Fujita Trust, Thomas E. Flowers Trust dd 9/29/1999
Claimant Lawyers(s): Ann McFarland Draper
Respondent(s): David Gillimore, U.S. Bancorp Investments.
Respondent Lawyers(s): Abe Lampart, Elizabeth M. Hill
Arbitrator(s): Kathryn J. Toronto, Robert M. Smith, Sterling N. Frost
Hearing Site: San Francisco, CA
| | $0 |
| 12-00013 | 08/25/2015 | Claimant(s): S & S Farms.
Claimant Lawyers(s): Richard Sacks
Respondent(s): Philip Pizelo, Shanon Ford, Toni Sutherland
Respondent Lawyers(s): David Wakukawa, Philip A. Pizelo, Shanon L. Ford
Arbitrator(s): James N. D'Orso, Thomas D. Reese, Edward J. Harkins
Hearing Site: San Francisco, CA
| | Expungement |
