12-00284 | 04/02/2014 | Claimant(s): Robert Bennett, William Bennett, The Bennett Family Trust - 1989 Claimant Lawyers(s): A. Emory Wishon, Fatima Gioletti, Roger M. Schrimp Respondent(s): Gary Reed, Jeffery Brookshire, Margaret Bennett, Mark Shoemaker, First Allied Securities., Reed, Shoemaker and Brookshire. Respondent Lawyers(s): Dirk B. Paloutzian, Jeffrey Compton Arbitrator(s): Peter H. Daly, Nancy A. Yonge, Zachary Scott Rigdon Hearing Site: San Francisco, CA
| | Expungement |
12-03942 | 04/24/2013 | Claimant(s): Marc Bachman Claimant Lawyers(s): Marc L. Bachman Respondent(s): Morgan Stanley Respondent Lawyers(s): Brian C. Hale Arbitrator(s): Peter H. Daly Hearing Site: Honolulu, HI
| | $0 |
09-05573 | 04/03/2013 | Claimant(s): Norma Byer Claimant Lawyers(s): Thomas C. Bradley Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Melissa M. Muehlfeld Arbitrator(s): Roger T. Verhage, Peter H. Daly, Joseph Berzok Hearing Site: Reno, NV
| | Expungement |
12-03227 | 03/21/2013 | Claimant(s): Eliseo Alatorre Claimant Lawyers(s): Jacob H. Zamansky Respondent(s): Unionbanc Investment Services Respondent Lawyers(s): G. Thomas Fleming Arbitrator(s): Lester Friedman, Peter H. Daly, Kevin C. Coleman Hearing Site: San Francisco, CA
| | Expungement |
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 |
10-05528 | 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 |
10-03895 | 01/31/2012 | Claimant(s): Bonne Sparks-Mitchell, Darcie Simmons, Ellen Rogers, Joyce Butterworth-Engler, Mark Lewis, Shirley A. Kelce, Wiley L. Estes, Kimberly A. Glasgow&Shirley Kelce JTWROS, T.J. Kassouf and Mary Jo Kassouf, Charles E. Butterworth, Jr. Family Trust Claimant Lawyers(s): Howard Prossnitz Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Joel M. Everest Arbitrator(s): Mary L. Merkle, Peter H. Daly, Milton N. Gross Hearing Site: Birmingham, AL
| | $611,312 |
10-01145 | 05/27/2011 | Claimant(s): Jason H. Solomon and Janet Solomon Trust Claimant Lawyers(s): Mitchell S. Ostwald Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): Deborah Dickstein Arbitrator(s): Paul F. Faberman, Peter H. Daly, Herbert L. Brown Hearing Site: San Francisco, CA
| | $428,800 |
09-03077 | 11/29/2010 | Claimant(s): Patricia Chapman, Patricia Tynan Chapman Trust UAD 9/26/90 Claimant Lawyers(s): Andrew V. Tramont Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Christopher A. Stecher Arbitrator(s): Peter H. Daly, Jonathan Holman Hathaway, Charles Eugene Markley Hearing Site: San Francisco, CA
| | $1,500,000 |
04-00772 | 04/16/2009 | Claimant(s): Isabelita Nopuente, OB1 Ltd Claimant Lawyers(s): James Jay Seltzer Respondent(s): Cornelius Choy, H.D. Vest Investment Services Respondent Lawyers(s): Gary S. Kessler, Robert T. Sullwold Arbitrator(s): Thomas H. O'Connor, Peter H. Daly, Joseph A. Lasky Hearing Site: San Francisco, CA
| | $0 |