| 17-03316 | 02/04/2019 | Claimant(s): Nicholas McClanahan
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth I. Schacter
Arbitrator(s): Ray J. Grzebielski, Gerald F DeNotto, Robert S. Grabemann
Hearing Site: Chicago, IL
|  | Dismissed by Rule 12206 |
| 17-02377 | 09/26/2018 | Claimant(s): Keith Yun, Nancy Yun
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): David J. Anderson, Arthur T. Berggren, Michael M. Hachigian
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-03557 | 03/30/2017 | Claimant(s): Alice Caputo, Antonio Gonzalez, Belia Gonzalez, Grace Magdaluyo, Gwen Shelton, Ken Mainville, Maria Lew, Marta Eckert, Marty Grogan, Robin Logan, Terry Rhoades
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard Mccollam
Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki, William P. Keith
Arbitrator(s): Carl B. Noelke, Ronald Chun, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Expungement |
| 16-00677 | 03/27/2017 | Claimant(s): Ruby Maddox
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates., Kathleen Tarr
Respondent Lawyers(s): G. Thomas Fleming, Paul W. Thomas
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-01816 | 10/04/2016 | Claimant(s): Barbara Padillia, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver
Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers
Respondent(s): Royal Alliance Associates., Kathleen Tarr, Richard McCollam
Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki
Arbitrator(s): Isidoro Berkman, Peter H. Daly, Mario Singleton
Hearing Site: San Francisco, CA
| | $1,933,000 |
| 14-01724 | 04/26/2016 | Claimant(s): Evelyn Johnson, Feliciano Dizon, Frank DiGrande, Harriett Eubanks, Marina Bautista, Trilby DiGrande
Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers
Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard McCollam
Respondent Lawyers(s): Paul W. Thomas, Scott L. Metzger, Theodore J. Sawicki
Arbitrator(s): Joseph H. Sturdivant, Amy Seltzer, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $91,908 |
| 13-03299 | 07/22/2015 | Claimant(s): Carol Saunders
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Daniel Haskard, Morgan Stanley, Susan Dandridge
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | Expungement |
| 11-03966 | 10/04/2012 | Claimant(s): Tom York
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Fred T. Kallet, James D. Knotter, Vytas Tarulis
Hearing Site: San Diego, CA
| | Stipulated Award and Expungement |
| 09-03670 | 07/22/2011 | Claimant(s): Robert Banks, Vita Banks, Robert R. Banks IRA, Vita Banks IRA
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James P. Delphey
Arbitrator(s): Jo-Ann C. Little, Judith A. Gust, Sally G. Williams
Hearing Site: San Diego, CA
| | Expungement |
| 07-03470 | 12/02/2008 | Claimant(s): Daniel Hurley
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Mark Moskowitz, Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Mark J. Moskowitz
Arbitrator(s): Franklin G. Allen, James O. Johnson, Gino Dante Serpe
Hearing Site: San Diego, CA
| | $80,000 |
