| 14-03448 | 11/17/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Steven Spitts
Respondent Lawyers(s): Steven Craig Spitts
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | |
| 14-03445 | 08/21/2015 | Claimant(s): Southwest Securities.
Claimant Lawyers(s): Richard D. Pullman
Respondent(s): Neville Richardson
Respondent Lawyers(s): Neville Richardson
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | |
| 11-02568 | 08/28/2012 | Claimant(s): Herman Shine, Marianne Shine
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Wells Fargo Investments, Patrick Briggs, Ray Seewer, Stephen Seewer
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): James N. D'Orso, Edwin C. Shiver, Herbert L. Brown
Hearing Site: San Francisco, CA
|  | Expungement |
| 12-00301 | 08/08/2012 | Claimant(s): Ann Wilson
Claimant Lawyers(s): Ann Pulford Wilson
Respondent(s): Chase Investment Services Corp., Geetika Mehrotra
Respondent Lawyers(s): Erika Imre Schindler
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | Expungement |
| 10-05661 | 11/14/2011 | Claimant(s): Mark Feldberg Separate Property Trust
Claimant Lawyers(s): Mark Feldberg
Respondent(s): GBS Financial Corp.
Respondent Lawyers(s): Donald G. Gloisten
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | $0 |
| 10-04948 | 04/14/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Stephen Baxter
Respondent Lawyers(s): Stephen Lee Baxter
Arbitrator(s): James N. D'Orso
Hearing Site: Honolulu, HI
| | |
| 10-02544 | 12/17/2010 | Claimant(s): Dorothy L. Bailey
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Avital Stadler
Arbitrator(s): James N. D'Orso
Hearing Site: Memphis, TN
| | $213 |
| 10-00266 | 11/10/2010 | Claimant(s): Sara Reed
Claimant Lawyers(s): Irwin Stein
Respondent(s): Kimon Daifotis, Charles Schwab & Co.., Randall Merk
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | Expungement |
| 07-03064 | 10/04/2010 | Claimant(s): Lynn Monteverde, Monteverde Investments
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Hornor, Townsend & Kent.
Respondent Lawyers(s): Margaret F. Swetman
Arbitrator(s): James N. D'Orso, Fred D. Butler, Richard Conlon Lehrmann
Hearing Site: Reno, NV
| | $163,250 |
| 09-06997 | 07/22/2010 | Claimant(s): Paul L. Mechetti, IRA, Paul L. & Arlene A. Mechetti Fam. Tr.
Claimant Lawyers(s): Paul L. Mechetti
Respondent(s): Jennifer Johnston, Banc of America Investment Services Inc.
Respondent Lawyers(s): Eric Glassman
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | $5,713 |
