12-04200 | 12/01/2014 | Claimant(s): Dragon Arena, LTD. Claimant Lawyers(s): Stephen Cohen Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Paul J. Schumacher Arbitrator(s): Jane Bradley, Darryl J. Horowitt, Martin Harris Dodd Hearing Site: San Francisco, CA
| | Expungement |
13-00258 | 02/19/2014 | Claimant(s): Dolores Smallen, Martin Smallen, The Smallen Family Trust U/A dated 5/31/ Claimant Lawyers(s): Christopher Gray Respondent(s): Shawn Davis, Berthel, Fisher & Company Financial Svcs Respondent Lawyers(s): Louis H. Castoria Arbitrator(s): Jane Bradley, Jonathan Holman Hathaway, David I. Levine Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
08-03904 | 04/20/2010 | Claimant(s): Kathleen Pomeroy, The Marital Deduction Trust, The Pomeroy Bypass Trust, The Pomeroy Family Trust Claimant Lawyers(s): Samuel B. Edwards Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Philip A. McLeod Arbitrator(s): Jane Bradley, William A. Husa, Mary Margaret Bush Hearing Site: San Francisco, CA
| | $768,944 |
06-02011 | 06/04/2008 | Claimant(s): John G., and Marcia Y. Wang Claimant Lawyers(s): John G. Wang Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Yuchia Lin Respondent Lawyers(s): Ben Suter Arbitrator(s): Nicholas J. Caputo, Jane Bradley, Nick G. Tarlson Hearing Site: San Francisco, CA
| | $0 |