23-02462 | 11/04/2024 | Claimant(s): George Miller, Janet McKinley Claimant Lawyers(s): Tyson C Redenbarger Respondent(s): Samuel Schoner, First Republic Securities Company Respondent Lawyers(s): E. Jeffrey Banchero, Mark L. Parmelee Arbitrator(s): Philip Aaron Tymon, Gary S. DeWeese, Jonathan Polland Hearing Site: San Francisco, CA
| | Expungement |
18-04007 | 11/07/2019 | Claimant(s): Waltraud Greathouse Claimant Lawyers(s): Brett A. Alcala Respondent(s): Kenneth Barroga, Crown Capital Securities, L.P. Respondent Lawyers(s): Craig R. Bockman Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Gary S. DeWeese Hearing Site: San Francisco, CA
| | $160,097 |
18-00641 | 10/03/2018 | Claimant(s): Emmanuel Obel Claimant Lawyers(s): Emmanuel Obel Respondent(s): AXA Advisors Respondent Lawyers(s): Kevin W. Alexander Arbitrator(s): Helen Marinak Blohm, Gary S. DeWeese, Erik John Renga Hearing Site: San Francisco, CA
| | Expungement |
15-01322 | 02/09/2018 | Claimant(s): Winnie Fang Claimant Lawyers(s): William W. Palmer Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Eric A. Herzog Arbitrator(s): Laurel Littman Gothelf, Barbara M. Anscher, Gary S. DeWeese Hearing Site: San Francisco, CA
| | $0 |
15-02683 | 08/25/2016 | Claimant(s): MacKenzie Realty Capital. Claimant Lawyers(s): Antony Buchignani Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): William Ziering, Gary S. DeWeese, Javier Chavez Hearing Site: San Francisco, CA
| | $0 |
14-03414 | 02/25/2016 | Claimant(s): Stephen Slocum Claimant Lawyers(s): Stephen J. Slocum Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): Herb Schwartz, Dean J. Dietrich, Gary S. DeWeese Hearing Site: San Francisco, CA
| | $0 |
10-05028 | 09/30/2011 | Claimant(s): William Dale Kelly and Joan Hull Trust Claimant Lawyers(s): Benjamin Lapin Respondent(s): Lawrence Miller, Investment Security Corporation Respondent Lawyers(s): Lawrence Benjamin Miller, Lee David Lubin Arbitrator(s): Ferdinand Schoch, Gary S. DeWeese, Richard Ullman 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 |