| 13-01135 | 07/22/2014 | Claimant(s): Janelle Hansen, Janelle Hansen Trust
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): John Ryan Gustafson
Arbitrator(s): Lester Friedman, Philip Aaron Tymon, Ronald J. Vernali
Hearing Site: San Francisco, CA
|  | Expungement |
| 13-01531 | 07/10/2014 | Claimant(s): NestWorth.
Claimant Lawyers(s): Paul M. Gordon
Respondent(s): Prager & Co.
Respondent Lawyers(s): Joel D. Adler
Arbitrator(s): Reed H. Bement
Hearing Site: San Francisco, CA
| | $0 |
| 13-01619 | 06/24/2014 | Claimant(s): Charles Liotta Trust dtd 3/8/94
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): John Kincaid, Cetera Advisors LLC
Respondent Lawyers(s): Stanley C. Morris
Arbitrator(s): Richard L. Rubin
Hearing Site: San Francisco, CA
| | Expungement |
| 12-03956 | 06/23/2014 | Claimant(s): Gloria Vignolo, Raymond L. Vignolo & Gloria J. Vignolo T
Claimant Lawyers(s): Gloria Vignolo
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Amy Seltzer, William J. Petzel, Christopher J. Hadsell
Hearing Site: San Francisco, CA
| | $0 |
| 13-03378 | 05/30/2014 | Claimant(s): Brian Ricks
Claimant Lawyers(s): Brian D. Ricks
Respondent(s): Michael Demaria, Northwestern Mutual Investment Services,
Respondent Lawyers(s): Jim Grady, Louis H. Castoria
Arbitrator(s): Robin Lynn Berry
Hearing Site: San Francisco, CA
| | $0 |
| 12-02884 | 05/29/2014 | Claimant(s): Tall Trees
Claimant Lawyers(s): Thomas Burke
Respondent(s): Gary Spitz, Mt Rushmore Securities LLC
Respondent Lawyers(s): Gary Mitchell Spitz
Arbitrator(s): Robin Lynn Berry, Mitchell S. Ostwald, Arocles Aguilar
Hearing Site: San Francisco, CA
| | $0 |
| 13-01749 | 05/21/2014 | Claimant(s): Louis Saadeh, Louis K. Saadeh Separate Property Trust
Claimant Lawyers(s): Val D. Hornstein
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Elyse Whitehead
Arbitrator(s): Philip Aaron Tymon, Carol Ann Jensen, Robert Sachs Mandelson
Hearing Site: San Francisco, CA
| | $0 |
| 13-02733 | 05/15/2014 | Claimant(s): Consuelo Tagalog, Sylvio Tagalog
Claimant Lawyers(s): Sylvio Tagalog
Respondent(s): Andrew Callejo, First Brokerage America, L.L.C.
Respondent Lawyers(s): Judith Payuk
Arbitrator(s): Ralph L. Jacobson
Hearing Site: San Francisco, CA
| | $600 |
| 13-03214 | 05/14/2014 | Claimant(s): Dorothy Askew
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Steven Boblis
Respondent Lawyers(s): Steven Mark Boblis
Arbitrator(s): Walter J. Huntley
Hearing Site: San Francisco, CA
| | $40,300 |
| 12-04224 | 05/07/2014 | Claimant(s): Richard Remington
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Omar Hassan, John Thomas Financial
Respondent Lawyers(s): David Hirschberg, Maria Cummings
Arbitrator(s): Michael Lancaster Garcia, Kenneth W. Gosliner, Norman S. Nayfach
Hearing Site: San Francisco, CA
| | $163,050 |
