| 15-00188 | 08/07/2015 | Claimant(s): Lawrence Spergel
Claimant Lawyers(s): Lawrence M. Spergel
Respondent(s): Tatyana Andreyeva
Respondent Lawyers(s): Tatyana Andreyeva
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
|  | $20,425 |
| 14-02501 | 08/06/2015 | Claimant(s): Christopher Godchaux
Claimant Lawyers(s): Christopher Barnett Godchaux
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Toby Cooper
Respondent Lawyers(s): Susan Roxanne Sheehan
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | $15,568 |
| 15-00363 | 07/31/2015 | Claimant(s): Lesleigh Root
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $31,757 |
| 12-03802 | 07/24/2015 | Claimant(s): James Randolph
Claimant Lawyers(s): David Liebrader
Respondent(s): Harry Rubins, Foothill Securities.
Respondent Lawyers(s): Timothy Fredricks
Arbitrator(s): Herbert L. Brown, Jonathan H. Krotinger, Sheldon Michaels
Hearing Site: San Francisco, CA
| | Expungement |
| 14-02075 | 07/17/2015 | Claimant(s): Carole Smith, Michael Smith, NNN Parkway Corporate Plaza 10
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): John Notman, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): John Shaw Notman, Nicole Lomibao
Arbitrator(s): William Ziering, Carol Ann Jensen, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 14-00771 | 07/16/2015 | Claimant(s): Frances Axelrad, Jonathan Axelrad
Claimant Lawyers(s): Jotham S. Stein
Respondent(s): Cira Nickerson, Eugene Gordon, Morgan Stanley
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): James N. D'Orso, Sterling N. Frost, Norman Dale Menegat
Hearing Site: San Francisco, CA
| | $325,526 |
| 13-02150 | 07/15/2015 | Claimant(s): Henry Mora, Lionel Gonzalez, Michele Lewis
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Thomas Fleming
Arbitrator(s): Jeffrey M. Allen, Debra Brothers Self, Byron L. Dare
Hearing Site: San Francisco, CA
| | $1,401,700 |
| 14-03535 | 06/04/2015 | Claimant(s): Harold Boritz, Karen Boritz
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
| | $163 |
| 14-00035 | 05/21/2015 | Claimant(s): Precioso Gabrillo
Claimant Lawyers(s): Precioso P. Gabrillo
Respondent(s): Charles Vaccarro, Element Trading Technologies LLC
Respondent Lawyers(s): Charles Vaccarroorate Officer
Arbitrator(s): Barbara M. Anscher
Hearing Site: San Francisco, CA
| | $3,437 |
| 14-02110 | 05/15/2015 | Claimant(s): Celeste Snyder, Celeste A. Snyder IRA, FBO Celeste A. Snyder ROTH IRA
Claimant Lawyers(s): Celeste A. Snyder
Respondent(s): Deron Allred, John Vanneman, Signator Investors.
Respondent Lawyers(s): Bina Ghanaat, Jibraun B. Riaz
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
