| 12-00604 | 12/21/2012 | Claimant(s): Louise Leon
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Dale Grubb, Morgan Stanley & Co.
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): Robin Lynn Berry
Hearing Site: San Francisco, CA
|  | Expungement |
| 11-04662 | 12/19/2012 | Claimant(s): Baolin Gao
Claimant Lawyers(s): Danning Jiang
Respondent(s): Simon Lin, White Pacific Securities.
Respondent Lawyers(s): Robert Angle, Simon Siao Roun Lin
Arbitrator(s): William Michael Samsel
Hearing Site: San Francisco, CA
| | $17,690 |
| 12-01432 | 12/14/2012 | Claimant(s): Mark Ramian
Claimant Lawyers(s): Andrew Keligian
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Autumn Crowell
Arbitrator(s): Carol Ann Jensen
Hearing Site: San Francisco, CA
| | $213 |
| 11-04512 | 11/30/2012 | Claimant(s): Bonnie Halleran, Kirt Willard
Claimant Lawyers(s): Kirt Willard
Respondent(s): James Parenti, James Williams
Respondent Lawyers(s): James A. Stankowski
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | $0 |
| 11-01075 | 11/14/2012 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Francis M. Curran
Respondent(s): Dean Kajouras, Douglas Bockmiller, John Lowry, Vincent Bruno, William Johnson
Respondent Lawyers(s): Francis M. Curran, Richard Sacks, William M. Johnson
Arbitrator(s): Mitchell S. Ostwald
Hearing Site: San Francisco, CA
| | $0 |
| 10-03941 | 10/08/2012 | Claimant(s): Gerhard Rohloff, Gerhard Rohloff Living Trust dd 7/11/05
Claimant Lawyers(s): Christopher P. Mader
Respondent(s): Jeffrey Arburn, Impact Financial Management, Whitehall-Parker Securities.
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Herbert Liberman, Edwin C. Shiver, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | Expungement |
| 10-02880 | 09/25/2012 | Claimant(s): Karl Townsend & Karen F. Townsend Trust
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Walter P. Hitchcock, Herb Schwartz, William A. Husa
Hearing Site: San Francisco, CA
| | Expungement |
| 11-01158 | 09/25/2012 | Claimant(s): Jamal Abdul-Kabir, Joyce Hanson
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): James N. D'Orso, Thomas D. Reese, Fern M. Laethem
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01001 | 09/25/2012 | Claimant(s): Yazheng Song
Claimant Lawyers(s): Yazheng Song
Respondent(s): Genesis Securities, Wang Investment Associates.
Respondent Lawyers(s): Dennis W. Maloney, William Yeh
Arbitrator(s): Reed H. Bement
Hearing Site: San Francisco, CA
| | $175 |
| 10-03269 | 09/10/2012 | Claimant(s): Kenneth Lemings
Claimant Lawyers(s): Walter J. Schmidt
Respondent(s): Donald Treloar, Randall Anderson
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Donald H. Korn
Hearing Site: San Francisco, CA
| | Expungement |
