19-02991 | 12/17/2021 | Claimant(s): Sandra Kim Claimant Lawyers(s): Brent D. Meyer Respondent(s): Anthony Bonafede, James Lamont, Joe Miller, Scott Heising, Lamont Financial Services Respondent Lawyers(s): Edward Zusman, Michael P. Ring Arbitrator(s): Helen Marinak Blohm, Lester Friedman, Mary H. Evans Hearing Site: San Francisco, CA
| | Expungement |
20-01189 | 01/07/2021 | Claimant(s): Valeria Blanchard Claimant Lawyers(s): Lauren B. Koch Respondent(s): First Financial Equity Corporation Respondent Lawyers(s): Jason L. Cassidy Arbitrator(s): David I. Levine, Mary H. Evans, Arocles Aguilar Hearing Site: Reno, NV
| | Dismissed by Rules 12200, 12201, and 12504 |
10-03000 | 02/17/2011 | Claimant(s): Edith Robertson, Glen Robertson, John Sorensen, Sheri Lewis-Sorensen, Susan Robertson Claimant Lawyers(s): Matthew K. Edling Respondent(s): Securities America. Respondent Lawyers(s): Bryan M. Ward Arbitrator(s): John J. Flynn, Thomas D. Reese, Mary H. Evans Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504 |
08-00841 | 11/19/2008 | Claimant(s): Emily Martin Revocable Living Trust Claimant Lawyers(s): Brett Alcala Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Joseph L. Calabrese Arbitrator(s): Thomas C. McNally, David R. Finch, Mary H. Evans Hearing Site: San Francisco, CA
| | $105,550 |