12-00893 | 06/13/2013 | Claimant(s): Maxine Pope, Michael Pope, The Maxine O. Pope Trust Dated 04-05-90, The Michael Pope Trust Dated 06-09-08 Claimant Lawyers(s): Michael Hume, Thomas C. Bradley Respondent(s): Wells Fargo Advisors, John Carlsen Respondent Lawyers(s): Vanessa Hoffmann Arbitrator(s): Thomas D. Reese, Mary Margaret Bush, Marilyn Burrill O'Toole Hearing Site: San Francisco, CA
| | Expungement |
11-01249 | 05/01/2012 | Claimant(s): William Garvey Claimant Lawyers(s): Brett A. Alcala Respondent(s): Mark Powell, Lighthouse Capital Corporation Respondent Lawyers(s): Jonathan Schwartz, Robert John Zamecki Arbitrator(s): William Ziering, Mary Margaret Bush, Stewart H. Foreman Hearing Site: San Francisco, CA
| | $100,000 |
10-03381 | 01/19/2012 | Claimant(s): Todd Klumok, Ted Raker and Doris B. Raker Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Joshua D. Jones Arbitrator(s): Thomas H. O'Connor, Mary Margaret Bush, Arocles Aguilar Hearing Site: Atlanta, GA
| | $66,174 |
10-04030 | 11/21/2011 | Claimant(s): Jeanne Smiley Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Curt R. Soefker Arbitrator(s): Mary Margaret Bush Hearing Site: Atlanta, GA
| | $10,366 |
11-01551 | 11/10/2011 | Claimant(s): Eileen B. Cohen and Allen A. Cohen JTWRO Claimant Lawyers(s): Marvin T. Bornstein Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Felde Arbitrator(s): Mary Margaret Bush Hearing Site: Reno, NV
| | $12,617 |
09-02736 | 12/30/2010 | Claimant(s): Credit Suisse Securities (USA) LLC Claimant Lawyers(s): Allan N. Taffet Respondent(s): Enable Capital Management, Jefferies & Company., Enable Growth Partners Respondent Lawyers(s): Alyson M. Weiss, Michael J. Baker Arbitrator(s): Jonathan H. Krotinger, Mary Margaret Bush, Mary Kay Higgins Crockett Hearing Site: San Francisco, CA
| | $0 |
09-03908 | 08/18/2010 | Claimant(s): Barbara Wammer, Nelson Irrevocable Trust, Nelson Marital Trust Claimant Lawyers(s): F. Chet Taylor Respondent(s): Kenneth Myers, 1st Discount Brokerage. Respondent Lawyers(s): Susan Yoffee Arbitrator(s): Gary H. Kahn, Juleanne A. Thiebaut, Mary Margaret Bush Hearing Site: San Francisco, CA
| | $202,300 |
08-04499 | 08/02/2010 | Claimant(s): Ame Wauters, Camilla Rogers, Suzanne Rogers Special Needs Trust Claimant Lawyers(s): Val D. Hornstein Respondent(s): Arthur Quintero, Patrick Nelson, Peilee Liu, Robert Angle, White Pacific Securities. Respondent Lawyers(s): Kevin L. Wheeler Arbitrator(s): Paul J. Dubow, Mary Margaret Bush, Fred D. Butler Hearing Site: San Francisco, CA
| | $1,092,510 |
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 |
03-02903 | 10/21/2008 | Claimant(s): Charles Raulerson Claimant Lawyers(s): Patrick Baldwin Respondent(s): Barbara Ralston, Charles Lazzaro, John Openshaw, First Wall Street Corp. Respondent Lawyers(s): Christopher Mader, Jeffrey S. Kob Arbitrator(s): Walter F. Dillaway, Mary Margaret Bush, Joseph M. O'Connor Hearing Site: San Francisco, CA
| | Expungement |