11-02623 | 02/12/2013 | Claimant(s): Michael Myers, Susan Myers, Michael F. Myers MA Trust dtd 10/23/08, Michael F. Myers MA Trust dtd 12/3/08, Susan K. Myers Living Trust dtd 1/8/01, Susan Myers MA Trust dtd 7/11/08 Claimant Lawyers(s): Charles N. Freiberg Respondent(s): Deutsche Bank Securities., Oppenheimer & Co.., Karl Hahn Respondent Lawyers(s): Allan N. Taffet, Karl E. Hahn, Philip A. McLeod Arbitrator(s): Linda M. Deola, Jonathan H. Krotinger, Susan J. Alexander Hearing Site: San Francisco, CA
| | $934,193 |
09-03871 | 02/04/2013 | Claimant(s): Xiaohua Qu Claimant Lawyers(s): Michael J. Maloney Respondent(s): Deutsche Bank Securities., William Svoboda Respondent Lawyers(s): George D. Sullivan Arbitrator(s): Michelle Judy Brant, Richard B. Bullock Hearing Site: San Francisco, CA
| | Expungement |
10-01501 | 01/31/2013 | Claimant(s): Adela Pena, Connie Johnson, Karrell Wood, Lauro Pena, Philip Ashburn, William Percy Claimant Lawyers(s): Melinda Jane Steuer, Scott R. Shewan Respondent(s): Sagepoint Financial., Sharon Kearney Respondent Lawyers(s): Dennis J. Kelly, Mark J. Hancock Arbitrator(s): William Ziering, Carl B. Noelke, Mario Singleton Hearing Site: San Francisco, CA
| | $0 |
12-01631 | 01/31/2013 | Claimant(s): Daniel Mytels Claimant Lawyers(s): Daniel R. Mytels Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John Bersin Arbitrator(s): Paul D. Gutierrez Hearing Site: San Francisco, CA
| | $0 |
10-02726 | 01/16/2013 | Claimant(s): Megan Steel, Keith M. Steel and Anpei Lin, Community Claimant Lawyers(s): Thomas D. Mauriello Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Gordon C. Young Arbitrator(s): Richard B. Bullock, Jonathan H. Krotinger, Edwin C. Shiver Hearing Site: San Francisco, CA
| | Expungement |
12-00507 | 01/14/2013 | Claimant(s): Joanne Johannsen, The Johannsen Family Survivors Trust dtd, The Johannsen Family Trust dtd 10/18/88 Claimant Lawyers(s): David L. Price Respondent(s): Morgan Stanley, Morgan Stanley DW Inc., Morgan Stanley Credit Corporation, Morgan Stanley Home Loans, Morgan Stanley Smith Barney Global Impac Respondent Lawyers(s): August "Jamie" H. Schupp Arbitrator(s): Paul D. Gutierrez, Roslyn Terri Mandel, Martin Joel Fassler Hearing Site: San Francisco, CA
| | $299,200 |
11-04282 | 01/04/2013 | Claimant(s): Herman Fitzgerald Claimant Lawyers(s): Nicholas A. Rogers Respondent(s): Wells Fargo Investments Respondent Lawyers(s): Thomas F. Kopshever Arbitrator(s): Frank R Weaver, Edwin C. Shiver, Ralph L. Jacobson Hearing Site: San Francisco, CA
| | Expungement |
12-02750 | 01/03/2013 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Anthony L. Valenzuela Respondent(s): Thomas Libby Respondent Lawyers(s): Thomas L. Libby Arbitrator(s): Frank R Weaver Hearing Site: San Francisco, CA
| | $0 |
10-05726 | 12/31/2012 | Claimant(s): Clara Hickle Claimant Lawyers(s): Tanya S. Sacks Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Kevin Fitzgerald Arbitrator(s): Herb Schwartz, Terry M Lloyd, Joseph Berzok Hearing Site: San Francisco, CA
| | $0 |
11-04071 | 12/31/2012 | Claimant(s): Donald J. Kinosian DDS Inc. PS Plan Claimant Lawyers(s): Richard Sacks Respondent(s): Anthony Vlahiotis, Ameritas Investment Corp. Respondent Lawyers(s): Amanpreet Kaur, Anthony Tom Vlahiotis Arbitrator(s): Lester Friedman, Paul D. Gutierrez, John B. Weingart Hearing Site: San Francisco, CA
| | $0 |