| 11-02159 | 10/10/2013 | Claimant(s): Tom Garcia
Claimant Lawyers(s): Daniel B. Lipson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Michelle Judy Brant
Hearing Site: San Francisco, CA
|  | Expungement |
| 11-00656 | 08/26/2013 | Claimant(s): Joanna George, Randy George
Claimant Lawyers(s): Randy George
Respondent(s): Erinn Ford, Joshua Swayne, Mark McCloskey, Philip Pizelo, Shanon Ford, William Swayne, Pacific West Financial Group Co., Pacific West Securities., WMS Financial Planners Inc.
Respondent Lawyers(s): Dennis J. Kelly
Arbitrator(s): Philip Aaron Tymon, Michael Lancaster Garcia, Robert Hilton Keller
Hearing Site: San Francisco, CA
| | $0 |
| 12-00026 | 08/16/2013 | Claimant(s): Om Kalra
Claimant Lawyers(s): Om Parkash Kalra
Respondent(s): Hemant Kathuria, Euro Pacific Capital.
Respondent Lawyers(s): Robert Decker
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | $0 |
| 12-00938 | 08/09/2013 | Claimant(s): Joyashree Guha, Mita Guha, Neela Guha, Tridib Guha
Claimant Lawyers(s): Tridib Guha
Respondent(s): David Taylor, Lucile Weed, Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Joseph M. O'Connor, Philip Aaron Tymon, Sean B. Meehan
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01975 | 07/23/2013 | Claimant(s): Alex Binai
Claimant Lawyers(s): D. Daxton White
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michelle Judy Brant, Sterling N. Frost, Kenneth W. Gosliner
Hearing Site: San Francisco, CA
| | Expungement |
| 11-01424 | 07/12/2013 | Claimant(s): Mary Anne Barreiro
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Anthony Vlahiotis, George Carathimas, Ameritas Investment Corp.
Respondent Lawyers(s): David Wakukawa, Louis H. Castoria, Richard Sacks
Arbitrator(s): Richard L. Rubin, Nick G. Tarlson, George King
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01712 | 07/12/2013 | Claimant(s): Robert Epperson IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): David H. S. Commins
Arbitrator(s): Lester Friedman, Daniel M. Yamshon, Paul D. Gutierrez
Hearing Site: San Francisco, CA
| | Expungement |
| 12-00893 | 06/13/2013 | Claimant(s): Maxine Pope, Michael Pope, The Maxine O. Pope Trust Dated 04-05-90, The Michael Pope Trust Dated 06-09-08
Claimant Lawyers(s): Michael Hume, Thomas C. Bradley
Respondent(s): Wells Fargo Advisors, John Carlsen
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): Thomas D. Reese, Mary Margaret Bush, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | Expungement |
| 12-03263 | 05/23/2013 | Claimant(s): Marylyn Siewert Cust Michael Bellotti, Marylyn Stiewert Cust Zachery Rickenbach, Peter K. Siewert, IRA
Claimant Lawyers(s): Marilyn Siewert, Peter K. Siewert
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timm A. VerDuin
Arbitrator(s): Frank R Weaver
Hearing Site: San Francisco, CA
| | $163 |
| 12-00003 | 05/20/2013 | Claimant(s): Tim Welch
Claimant Lawyers(s): Tim L Welch
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anne Reilly
Arbitrator(s): Walter J. Huntley
Hearing Site: San Francisco, CA
| | $0 |
