| 08-03174 | 11/05/2010 | Claimant(s): Leon Kaplan
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): David Lowi, Jeffrey Green, William Evans, III, Stone & Youngberg LLC
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Donald S. Green, James S. Martin, Stephen A. Field
Hearing Site: San Francisco, CA
|  | Expungement |
| 10-00302 | 10/22/2010 | Claimant(s): Gary Eveatt
Claimant Lawyers(s): Gary Lee Eveatt
Respondent(s): Shaun Verner, Tracie Sunitsch, Bancwest Investment Services.
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): John J. George
Hearing Site: San Francisco, CA
| | $0 |
| 09-04336 | 10/12/2010 | Claimant(s): Geraldine Bell
Claimant Lawyers(s): Geraldine L. Bell
Respondent(s): James Rudwall, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Alvin L. Fishman, Gary Timothy Haight, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 09-04864 | 10/11/2010 | Claimant(s): Steve Miura
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Kimon Peter Daifotis
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Carlos Richard Mangum, Jonathan H. Krotinger, Hadden Wing Roth
Hearing Site: San Francisco, CA
| | $0 |
| 09-06198 | 10/04/2010 | Claimant(s): Carol West
Claimant Lawyers(s): Carol West
Respondent(s): Martin Gates, Omni Brokerage., Western America Brokerage LLC
Respondent Lawyers(s): Patrick L. Hinton, Rebecca E. Delany
Arbitrator(s): Jonathan Holman Hathaway, Benjamin Slomoff, Edward J. Harkins
Hearing Site: San Francisco, CA
| | Expungement |
| 09-02287 | 10/04/2010 | Claimant(s): Deborah Hill, IRA Rollover Dated 09/13/92
Claimant Lawyers(s): Val D. Hornstein
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): Terri Coster Boesch, Hadden Wing Roth, Michael Craig Butterworth
Hearing Site: San Francisco, CA
| | $0 |
| 09-05191 | 09/29/2010 | Claimant(s): Mark Dowie & Wendy Ann Schwartz, Michael Berger & Deborah J. Slater Trust, Richard Kirschman Trust
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michele R. Fron
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $0 |
| 05-04291 | 09/24/2010 | Claimant(s): Elaine Lambert, Winston Lambert, Dr. Elaine Lambert Employee CPP PL, Winston Lambert Invest. Employee MPP, Winston Lambert Investments Emp. PS PL
Claimant Lawyers(s): B. Ray Zoll, Reuben L. Nocos
Respondent(s): Wedbush Securities Inc., Christopher Short
Respondent Lawyers(s): Charles B LaChaussee, Christopher G. Short
Arbitrator(s): Donald S. Duerson, Jonathan H. Krotinger, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $0 |
| 09-01333 | 09/20/2010 | Claimant(s): George Grant
Claimant Lawyers(s): George R. Grant
Respondent(s): Dave Samuels, Sagepoint Financial.
Respondent Lawyers(s): Louis H. Castoria
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | $39,000 |
| 09-01190 | 09/15/2010 | Claimant(s): Lynell Miller Jones, IRA Rollover
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Jerold R. Babin, Anthony G. Sousa, Shawn Ridgell
Hearing Site: San Francisco, CA
| | $0 |
