| 17-01023 | 06/13/2018 | Claimant(s): Leslie Baronian, The Birgitta Baronian Decedent's Trust
Claimant Lawyers(s): Cary S. Lapidus, Nancy C. Field
Respondent(s): Dustin Brown, RBC Capital Markets LLC
Respondent Lawyers(s): Abe Lampart, Michael M. Gless
Arbitrator(s): Carlos Richard Mangum, Minnie Loo, Kenneth Paul Strongman
Hearing Site: San Francisco, CA
|  | Expungement |
| 16-03174 | 03/07/2018 | Claimant(s): Gary Fields, Marjorie Fields, Gary B. Fields Roth IRA, Gary B. Fields Traditional IRA, Marjorie Fields Traditional IRA, Fields Family Trust U/A DTD 10/04/1994
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Laurel Littman Gothelf, Robert M. Smith, Norman Dale Menegat
Hearing Site: San Francisco, CA
| | Expungement |
| 10-03368 | 04/16/2012 | Claimant(s): Edward Mercaldo, Evelyn Hall, Karen Mercaldo, William Hall, The Mercaldo Family Trust DTD 10/08/2002, The William and Evelyn Hall Trust
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): First Republic Securities Company
Respondent Lawyers(s): Sara B. Brody
Arbitrator(s): Darryl J. Horowitt, Terri Coster Boesch, Val D. Hornstein
Hearing Site: San Francisco, CA
| | $0 |
| 10-04192 | 03/29/2012 | Claimant(s): Annie Zeigon, James Zeigon
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): First Republic Securities Company
Respondent Lawyers(s): Sara B. Brody
Arbitrator(s): Jeffrey M. Allen, Norman S. Nayfach, Edward J. Harkins
Hearing Site: San Francisco, CA
| | $870,632 |
| 10-05528 | 02/28/2012 | Claimant(s): Corrado Federico 2005 Restated Revocable
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): Stone & Youngberg LLC
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Peter H. Daly, Arocles Aguilar, Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | $0 |
| 09-02584 | 12/14/2010 | Claimant(s): Kay Family Revocable Trust dd 2/7/90
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): Stone & Youngberg LLC
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Barbara M. Anscher, Michael Lancaster Garcia, Robert M. Greber
Hearing Site: San Francisco, CA
| | $750,000 |
| 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 |
| 08-00326 | 01/23/2009 | Claimant(s): Amardeep Misha, Elizabeth Twaddell, The Amardeep Misha & Elizabeth Twadell L
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): David Lowi, William Evans, Stone & Youngberg
Respondent Lawyers(s): Cara L. Meredith
Arbitrator(s): Alexander L. Mazour, Amy Seltzer, Walter J. Huntley
Hearing Site: San Francisco, CA
| | $250,000 |
