| 18-00381 | 03/12/2019 | Claimant(s): James Martin
Claimant Lawyers(s): Michael Bessette
Respondent(s): Morgan Stanley DW Inc., MSI Financial Services.
Respondent Lawyers(s): Eunice Jordan, Jeremy S. Winer
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
| | |
| 08-04498 | 01/06/2012 | Claimant(s): Judith Rutherford
Claimant Lawyers(s): Judith Rutherford
Respondent(s): Andrew Anagnostou, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Richard B. Bullock, James S. Martin, Michael J. Fish
Hearing Site: San Francisco, CA
|  | $0 |
| 09-00562 | 07/12/2011 | Claimant(s): Stan Schuldiner
Claimant Lawyers(s): Stan Schuldiner
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): James J. Dougherty
Arbitrator(s): Harry B. Endsley, James S. Martin, Walter F. Dillaway
Hearing Site: San Francisco, CA
| | $0 |
| 08-03174 | 11/05/2010 | Claimant(s): Leon Kaplan
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): David Lowi, Jeffrey Green, William Evans, III, Stone & Youngberg LLC
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Donald S. Green, James S. Martin, Stephen A. Field
Hearing Site: San Francisco, CA
| | Expungement |
| 08-02800 | 08/16/2010 | Claimant(s): Lee Ng, Lim Low
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Fengjui Hsu, John Hsu, Pyramid Financial Corp.
Respondent Lawyers(s): Eric J. Sidebotham, Fengjui Sun Hsu
Arbitrator(s): James S. Martin, Jeffrey M. Allen, Homer L. Davis
Hearing Site: San Francisco, CA
| | $338,610 |
| 07-00977 | 03/17/2009 | Claimant(s): James Martin, Estate of Barbara Martin
Claimant Lawyers(s): Neil W. Yahn
Respondent(s): Citigroup Global Markets., Ronald Wetzel
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Dean L. Scarpa, John L. Braxton, Allen M. Kerpan
Hearing Site: Philadelphia, PA
| | $1 |
| 06-03213 | 12/06/2007 | Claimant(s): Rindy Merrifield Inc Def Ben Plan 1/00
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Michael Woods, Mutual Service Corporation
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): James S. Martin, Walter J. Huntley, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | $0 |
