| 10-02414 | 11/15/2013 | Claimant(s): Mark Pasillo, Susan Pasillo
Claimant Lawyers(s): Irwin Stein
Respondent(s): James Walsh
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): June Y. Kilmarx, Iris Taymore Schnitzer, Robert J. Ambrogi
Hearing Site: Boston, MA
|  | Expungement |
| 12-02447 | 11/01/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael West
Respondent(s): Sara Reed
Respondent Lawyers(s): Irwin Stein
Arbitrator(s): Alexander L. Mazour, Kathryn J. Toronto, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | Expungement |
| 12-02933 | 07/09/2013 | Claimant(s): Marianne Baldwin
Claimant Lawyers(s): Irwin Stein
Respondent(s): Mark Van Mourick, Gramercy Securities., Optivest.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michael G. Clark, Christopher J. Rogers, Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02633 | 07/16/2012 | Claimant(s): Alvaro Castro, Patricia Castro, The Castro Family Trust
Claimant Lawyers(s): Irwin Stein, Timothy A. Canning
Respondent(s): Jim Lund, Michelle Langer, Robert Tweed, Capwest Securities.
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): David J. Anderson, Melvin S. Feldman, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | $156,250 |
| 10-04294 | 04/12/2012 | Claimant(s): Salvatore Lima, Lima Family Trust
Claimant Lawyers(s): Irwin Stein
Respondent(s): James Walsh, MCL Financial Group.
Respondent Lawyers(s): Lawrence Singleton, Robert J. Girard
Arbitrator(s): Nicholas J. Caputo, Harry B. Endsley, James N. D'Orso
Hearing Site: San Francisco, CA
| | Expungement |
| 10-04833 | 02/28/2012 | Claimant(s): Carol Mitchell-Gears, Keith Mitchell-Gears
Claimant Lawyers(s): Irwin Stein, Tanya Sacks
Respondent(s): August Stock, Jerome Rydell, John McClellan, Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Joe S. Tarrer, Ralph H. Martin, Robert S. Baran
Hearing Site: Phoenix, AZ
| | Expungement |
| 09-06643 | 01/11/2012 | Claimant(s): Aslam Ahmed, Ayfer Ahmed
Claimant Lawyers(s): Irwin Stein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Crow, Patricia Williams
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Ferdinand Schoch, Ronald Chun, Charles Eugene Markley
Hearing Site: San Francisco, CA
| | $0 |
| 10-03222 | 10/13/2011 | Claimant(s): Anthony Hanna, Debra Hanna, 2001 Anthony J. and Debra F. Revocable T
Claimant Lawyers(s): Irwin Stein
Respondent(s): Dale Hall, David Smith, Kathleen Heshelow, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities.
Respondent Lawyers(s): David L. Smith, H Thomas Fehn, Orly Davidi
Arbitrator(s): Alan Stamm, A. Joel Klein, Russell T. Doe
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04788 | 09/09/2011 | Claimant(s): Pavillion Trading LLC
Claimant Lawyers(s): Irwin Stein
Respondent(s): James Kupfer, Penson Financial Services., Transcend Capital LLC
Respondent Lawyers(s): Ben Broocks, Lee Polson, Tim Davis
Arbitrator(s): Michael G. Hanlon
Hearing Site: Boise, ID
| | Expungement |
| 09-06677 | 04/12/2011 | Claimant(s): Lisa Cordaro, Robert Cordaro
Claimant Lawyers(s): Irwin Stein
Respondent(s): Forrest Templeton, United Securities Alliance.
Respondent Lawyers(s): Forrest D. Templeton, Michael Washington Jones
Arbitrator(s): George W. Harding, Donald N. Tolin, William J. Kenna
Hearing Site: Albuquerque, NM
| | $500,000 |
