| 12-00363 | 05/01/2014 | Claimant(s): Albertus Niehuis, Andrea Niehuis, ARI - OP 18, TIC SHS Pittsburgh 2, TIC TPS Portland 3
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Walter J. Huntley, Joseph M. O'Connor, Adrian Alec Colley
Hearing Site: San Francisco, CA
|  | $1,165,880 |
| 13-00213 | 04/29/2014 | Claimant(s): Joseph Loprieato, Peggy Loprieato
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Michael J. Fish, Arocles Aguilar, Roger Donald Bolgard
Hearing Site: San Francisco, CA
| | Expungement |
| 13-01812 | 04/10/2014 | Claimant(s): Ben Rosenfeld
Claimant Lawyers(s): Ben Rosenfeld
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | $0 |
| 12-00284 | 04/02/2014 | Claimant(s): Robert Bennett, William Bennett, The Bennett Family Trust - 1989
Claimant Lawyers(s): A. Emory Wishon, Fatima Gioletti, Roger M. Schrimp
Respondent(s): Gary Reed, Jeffery Brookshire, Margaret Bennett, Mark Shoemaker, First Allied Securities., Reed, Shoemaker and Brookshire.
Respondent Lawyers(s): Dirk B. Paloutzian, Jeffrey Compton
Arbitrator(s): Peter H. Daly, Nancy A. Yonge, Zachary Scott Rigdon
Hearing Site: San Francisco, CA
| | Expungement |
| 13-02858 | 04/01/2014 | Claimant(s): Mark Cote
Claimant Lawyers(s): Mark Cote
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | $0 |
| 13-00119 | 03/27/2014 | Claimant(s): David de Groot
Claimant Lawyers(s): Ross Edouard Mitchell
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Val D. Hornstein
Hearing Site: San Francisco, CA
| | $11,023 |
| 13-00296 | 03/10/2014 | Claimant(s): Suzanne Vierra IRA, Virra Broshear Enterprises Defined Benef
Claimant Lawyers(s): Charles A. Tweedy, Joseph W. Scalia
Respondent(s): Gene Williams, Walnut Street Securities.
Respondent Lawyers(s): Louis Castoria
Arbitrator(s): Lester Friedman, James N. D'Orso, Dennis Markham Smith
Hearing Site: San Francisco, CA
| | Expungement |
| 12-00167 | 03/04/2014 | Claimant(s): Sehat Sutardja, Weili Dai, Sutardja Family Partners
Claimant Lawyers(s): David Elsberg, John Quinn
Respondent(s): Bradley Defoor, Goldman, Sachs and Company, Graham Brandt
Respondent Lawyers(s): David L. Zifkin, David R. Boyd, Jonathan D. Schiller
Arbitrator(s): Thomas J. LoSavio, Jonathan Holman Hathaway, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $0 |
| 13-01094 | 02/27/2014 | Claimant(s): Peter McCabe
Claimant Lawyers(s): Peter McCabe
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | $163 |
| 12-01509 | 02/21/2014 | Claimant(s): Jack Ugo Marchi & Mary V. Marchi Trust
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Laurel Littman Gothelf, Linda M. McCoy, Elmo E. Wedderburn
Hearing Site: San Francisco, CA
| | Expungement |
