| 18-02071 | 11/07/2019 | Claimant(s): Rivette Family Trusts
Claimant Lawyers(s): Douglas W. Oldfield
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Kathryn J. Toronto, Gary Kostow, Ranjani Mohana
Hearing Site: San Francisco, CA
|  | $0 |
| 17-01530 | 08/21/2018 | Claimant(s): Mel Trust
Claimant Lawyers(s): Stan Schuldiner
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Kathryn J. Toronto, William Michael Samsel, Kevin C. Coleman
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504 |
| 17-01333 | 06/25/2018 | Claimant(s): Tracy Corn, TTDY TOO LLC
Claimant Lawyers(s): David Valicenti
Respondent(s): David Traverso, Morgan Stanley & Co.
Respondent Lawyers(s): John S. Worden
Arbitrator(s): William Ziering, Kathryn J. Toronto, Nancy A. Yonge
Hearing Site: San Francisco, CA
| | $0 |
| 12-01405 | 09/15/2015 | Claimant(s): Koko Flowers, Thomas E. Flowers Charitable Trust, Koko Fujita Charitable Trust dd 12/31/96, Thomas E. Flowers & Koko Fujita Trust, Thomas E. Flowers Trust dd 9/29/1999
Claimant Lawyers(s): Ann McFarland Draper
Respondent(s): David Gillimore, U.S. Bancorp Investments.
Respondent Lawyers(s): Abe Lampart, Elizabeth M. Hill
Arbitrator(s): Kathryn J. Toronto, Robert M. Smith, Sterling N. Frost
Hearing Site: San Francisco, CA
| | $0 |
| 13-00366 | 12/08/2014 | Claimant(s): Michael Hammel, Michael D. Hammel IRA
Claimant Lawyers(s): Ryan Cook, Samuel B. Edwards
Respondent(s): James Bernthal, Qi Huang, Stephen Grivas, Upinder Sharma, Obsidian Financial Group
Respondent Lawyers(s): James Rhys Bernthal, Kevin Sharma, Qi Huang, Stephen Grivas, Upinder Kumar Sharma
Arbitrator(s): Kathryn J. Toronto, Barbara M. Anscher, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | $182,932 |
| 11-00679 | 08/20/2012 | Claimant(s): S.R. Takayama
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): Claude Ohanesian, Citigroup Global Markets., Morgan Stanley, Michael Coleman
Respondent Lawyers(s): Nicholas P. Iavarone, Patrick G. King
Arbitrator(s): Kathryn J. Toronto, Peter H. Daly, Anthony G. Sousa
Hearing Site: San Francisco, CA
| | Expungement |
| 10-03090 | 04/10/2012 | Claimant(s): Denise Cooley
Claimant Lawyers(s): Neyleen Beljajev
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Kathryn J. Toronto, Paul D. Gutierrez, Juleanne A. Thiebaut
Hearing Site: San Francisco, CA
| | Expungement |
| 10-02526 | 01/09/2012 | Claimant(s): Fornell Enterprises. 401(K) PSP
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawerence Polk
Arbitrator(s): Kathryn J. Toronto, Marc Kalish, Jane L. Lawless
Hearing Site: Orlando, FL
| | $214,618 |
| 09-02994 | 03/09/2010 | Claimant(s): Mahin Vadi & Cyrus Bahram Soltani
Claimant Lawyers(s): Reza Soltani
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John J. Vihstad
Arbitrator(s): Kathryn J. Toronto, Andrew R. Epstein, Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
| | $0 |
