| 20-01539 | 02/17/2023 | Claimant(s): Shannon Marquardt
Claimant Lawyers(s): Robert D. Loventhal
Respondent(s): First Republic Securities Company
Respondent Lawyers(s): Teresa Thong
Arbitrator(s): Lester Friedman, John J. Fitzpatrick, David I. Levine
Hearing Site: San Francisco, CA
|  | Dismissed by Rule 12212 and 12511 |
| 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 |
| 13-01135 | 07/22/2014 | Claimant(s): Janelle Hansen, Janelle Hansen Trust
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): John Ryan Gustafson
Arbitrator(s): Lester Friedman, Philip Aaron Tymon, Ronald J. Vernali
Hearing Site: San Francisco, CA
| | Expungement |
| 13-00296 | 03/10/2014 | Claimant(s): Suzanne Vierra IRA, Virra Broshear Enterprises Defined Benef
Claimant Lawyers(s): Charles A. Tweedy, Joseph W. Scalia
Respondent(s): Gene Williams, Walnut Street Securities.
Respondent Lawyers(s): Louis Castoria
Arbitrator(s): Lester Friedman, James N. D'Orso, Dennis Markham Smith
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01712 | 07/12/2013 | Claimant(s): Robert Epperson IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): David H. S. Commins
Arbitrator(s): Lester Friedman, Daniel M. Yamshon, Paul D. Gutierrez
Hearing Site: San Francisco, CA
| | 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 |
| 11-04071 | 12/31/2012 | Claimant(s): Donald J. Kinosian DDS Inc. PS Plan
Claimant Lawyers(s): Richard Sacks
Respondent(s): Anthony Vlahiotis, Ameritas Investment Corp.
Respondent Lawyers(s): Amanpreet Kaur, Anthony Tom Vlahiotis
Arbitrator(s): Lester Friedman, Paul D. Gutierrez, John B. Weingart
Hearing Site: San Francisco, CA
| | $0 |
| 10-03551 | 08/07/2012 | Claimant(s): Larry Smith, Larry Smith IRA, Donald G. Smith & Betty J. Smith, JTWROS
Claimant Lawyers(s): Donald G. & Betty J. Smith, Larry R. Smith, Larry Smith
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Amy C. Worrell
Arbitrator(s): Lester Friedman, Ralph H. Martin, Robert Charles Morrison
Hearing Site: Little Rock, AR
| | $28,569 |
| 09-02992 | 05/28/2010 | Claimant(s): Martin Fischer
Claimant Lawyers(s): Martin J. Fischer
Respondent(s): Andrea Fischer, Joseph Lushina, Edward Jones
Respondent Lawyers(s): Andrea Fischer, Edwin A. Barkel
Arbitrator(s): Lester Friedman, James W. Warren, Ralph L. Jacobson
Hearing Site: Reno, NV
| | $15,300 |
| 07-02000 | 06/09/2008 | Claimant(s): Duncan McCandless
Claimant Lawyers(s): Duncan S. McCandless
Respondent(s): Dennis Willis, Associated Securities Corp.
Respondent Lawyers(s): Samuel Edgerton
Arbitrator(s): Lester Friedman, Cheryl R. Kershner, Walter F. Dillaway
Hearing Site: San Francisco, CA
| | $0 |
