| 13-00258 | 02/19/2014 | Claimant(s): Dolores Smallen, Martin Smallen, The Smallen Family Trust U/A dated 5/31/
Claimant Lawyers(s): Christopher Gray
Respondent(s): Shawn Davis, Berthel, Fisher & Company Financial Svcs
Respondent Lawyers(s): Louis H. Castoria
Arbitrator(s): Jane Bradley, Jonathan Holman Hathaway, David I. Levine
Hearing Site: San Francisco, CA
|  | Dismissed by Rule 12206 |
| 13-01405 | 02/11/2014 | Claimant(s): Larry Flay
Claimant Lawyers(s): Larry Flay
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Linda M. McCoy
Hearing Site: San Francisco, CA
| | $2,882 |
| 12-03552 | 02/11/2014 | Claimant(s): Laura Lambert, Scott Lambert
Claimant Lawyers(s): Joseph Wood
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): John P. Wilson, John J. Fitzpatrick, Walter F. Dillaway
Hearing Site: San Francisco, CA
| | $0 |
| 10-05590 | 02/04/2014 | Claimant(s): Janette Athanassious, Nabil Athanassious
Claimant Lawyers(s): Eric Benink
Respondent(s): Marc Blot, Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman, Timothy Feil
Arbitrator(s): Reed H. Bement, Urs Laeuchli, Daniel Martell
Hearing Site: San Francisco, CA
| | Expungement |
| 13-01176 | 12/11/2013 | Claimant(s): Donald Stunkart
Claimant Lawyers(s): Robert Talbot
Respondent(s): Edward Jones
Respondent Lawyers(s): Mitchell C. Newhouse
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | $325 |
| 13-00976 | 12/10/2013 | Claimant(s): Dennis Carlton
Claimant Lawyers(s): Dennis M. Carlton
Respondent(s): Beth Kirkland, John Rohan, Kevin Kitchin, Robert Morgan
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 12-02751 | 11/22/2013 | Claimant(s): Christopher Gaertner, Jacqueline Gaertner
Claimant Lawyers(s): David E. Bamberger
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John P. Bevilacqua
Arbitrator(s): Richard L. Rubin, Paul D. Gutierrez, Ronald Chun
Hearing Site: San Francisco, CA
| | Expungement |
| 12-04075 | 11/20/2013 | Claimant(s): Gai 08 Trust Under Agreement dd 10/15/08
Claimant Lawyers(s): Steven A. Clair
Respondent(s): Casey Knowles, Morgan Stanley & Co.
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Jonathan Holman Hathaway, Juleanne A. Thiebaut, Edwin C. Shiver
Hearing Site: San Francisco, CA
| | Expungement |
| 11-04509 | 10/31/2013 | Claimant(s): Gale A. Pfund and Margery S. Pfund
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Richard B. Bullock, Kenneth W. Gosliner, Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | Expungement |
| 13-00469 | 10/29/2013 | Claimant(s): Rocco Frattaroli
Claimant Lawyers(s): Rocco Frattaroli
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Walter J. Huntley
Hearing Site: San Francisco, CA
| | $3,289 |
