12-04040 | 11/10/2015 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Timothy N. Will Respondent(s): Aric Kent Respondent Lawyers(s): Marie C. Mirch Arbitrator(s): Fred T. Kallet, James D. Knotter, Thomas J. Doherty Hearing Site: San Diego, CA
| | |
10-00890 | 07/24/2012 | Claimant(s): Easton Limited Partnership Claimant Lawyers(s): Marie C. Mirch Respondent(s): Douglas Rachlin, Henry Robertson, Fidelity Brokerage Services LLC, Neuberger Berman LLC Respondent Lawyers(s): Melissa H. Shea, Neal S. Robb, Patrick R. Mahoney Arbitrator(s): Guenter S. Cohn, Thomas E. Mullen, Duane Ted Wolfe Hearing Site: San Diego, CA
| | $0 |
10-03313 | 02/16/2012 | Claimant(s): Bill Callis Claimant Lawyers(s): Marie C. Mirch Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): Andrew M. DeLucia Arbitrator(s): Michael E. Rohde, Patricia B. Lehtola, Thomas Richard Delaney Hearing Site: Dallas, TX
| | |
10-01116 | 11/14/2011 | Claimant(s): Michael Di Pietro Claimant Lawyers(s): Marie C. Mirch Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeffrey Compton Arbitrator(s): Kenneth E. Owen, Larry Haugaard, Morris S. Getzels Hearing Site: Los Angeles, CA
| | |
10-00664 | 08/04/2011 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): John C. Steele Respondent(s): Piper Jaffray & Co., Mark Riley Respondent Lawyers(s): John C. Steele, Marie C. Mirch Arbitrator(s): Nancy J. Spieczny, Edward H. Davis, Arnold Packer Hearing Site: San Diego, CA
| | |
09-00335 | 02/24/2011 | Claimant(s): Araceli Fonseca Claimant Lawyers(s): Marie C. Mirch Respondent(s): Brett Saddler, Ameriprise Financial Services. Respondent Lawyers(s): Katherine J. Stanton Arbitrator(s): Kenneth E. Owen, Arthur T. Berggren, Richard William DeWeese Hearing Site: Los Angeles, CA
| | |