| 13-00818 | 12/11/2014 | Claimant(s): Voecks Trust U/T/A DTD 05/19/2005
Claimant Lawyers(s): Steven D Toskes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Linda M. McCoy, Joseph M. Fabricatore, Alden Sharp Adkins
Hearing Site: San Francisco, CA
|  | Expungement |
| 13-00366 | 12/08/2014 | Claimant(s): Michael Hammel, Michael D. Hammel IRA
Claimant Lawyers(s): Ryan Cook, Samuel B. Edwards
Respondent(s): James Bernthal, Qi Huang, Stephen Grivas, Upinder Sharma, Obsidian Financial Group
Respondent Lawyers(s): James Rhys Bernthal, Kevin Sharma, Qi Huang, Stephen Grivas, Upinder Kumar Sharma
Arbitrator(s): Kathryn J. Toronto, Barbara M. Anscher, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | $182,932 |
| 12-04200 | 12/01/2014 | Claimant(s): Dragon Arena, LTD.
Claimant Lawyers(s): Stephen Cohen
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): Jane Bradley, Darryl J. Horowitt, Martin Harris Dodd
Hearing Site: San Francisco, CA
| | Expungement |
| 13-02801 | 11/18/2014 | Claimant(s): Carolyn Erskine
Claimant Lawyers(s): Christopher C. Cooke
Respondent(s): LPL Financial LLC, Michael Allard, National Planning Corporation
Respondent Lawyers(s): Jon D. Kaplon, Louie H. Castoria, Michael T. Regan
Arbitrator(s): William Ziering, Thomas J. LoSavio, Kevin C. Coleman
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 11-04655 | 11/13/2014 | Claimant(s): CDC TIC 21, Warren Family Trust
Claimant Lawyers(s): Kirk Smith
Respondent(s): Toni Sutherland
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Laurel Littman Gothelf, Robert H. Cornell, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | Expungement |
| 13-01323 | 10/15/2014 | Claimant(s): Mark Manoogian
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors, Jim Karas
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | Expungement |
| 13-01974 | 10/08/2014 | Claimant(s): Nancy Battel
Claimant Lawyers(s): Nancy M. Battel
Respondent(s): Aileen Low, Edward Jones, Benetech.
Respondent Lawyers(s): Jennifer M. Porter, Rene I. Gamboa
Arbitrator(s): Thomas D. Reese, Peter H. Daly, Louis Anthony Napoli
Hearing Site: San Francisco, CA
| | Expungement |
| 13-02209 | 10/03/2014 | Claimant(s): Carol Humphries, Wilson Humphries
Claimant Lawyers(s): Brian D. Miller, Mitchell S. Ostwald
Respondent(s): Rocco Cortese, Tomas Velken, Sigma Financial Corporation
Respondent Lawyers(s): Avi Wagner, Jonathan M. Sterling
Arbitrator(s): Barbara M. Anscher, Philip Aaron Tymon, Nancy A. Yonge
Hearing Site: San Francisco, CA
| | Expungement |
| 13-00342 | 09/30/2014 | Claimant(s): Cynthia Siegle Trust, DTD 6/26/1990
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Susan J. Alexander, Ralph L. Jacobson, Anne M. Lawlor Goyette
Hearing Site: San Francisco, CA
| | Expungement |
| 12-02885 | 08/22/2014 | Claimant(s): Richard Hingley, Richard A. Hingley IRA, Richard A. Hingley 1989 Trust
Claimant Lawyers(s): Ronald E. Miller
Respondent(s): Eric Kuchel, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman, Shanna Javaheri
Arbitrator(s): Michelle Judy Brant, Peter H. Daly, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | $277,468 |
