| 13-01502 | 10/10/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Bradley Gardner, Daniel Catone, Michael Gibson
Respondent Lawyers(s): Alan M. Steinberg, Cary S. Lapidus
Arbitrator(s): Paul J. Dubow, Thomas D. Reese, Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 12-02884 | 05/29/2014 | Claimant(s): Tall Trees
Claimant Lawyers(s): Thomas Burke
Respondent(s): Gary Spitz, Mt Rushmore Securities LLC
Respondent Lawyers(s): Gary Mitchell Spitz
Arbitrator(s): Robin Lynn Berry, Mitchell S. Ostwald, Arocles Aguilar
Hearing Site: San Francisco, CA
|  | $0 |
| 13-00213 | 04/29/2014 | Claimant(s): Joseph Loprieato, Peggy Loprieato
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Michael J. Fish, Arocles Aguilar, Roger Donald Bolgard
Hearing Site: San Francisco, CA
| | Expungement |
| 12-03196 | 10/25/2013 | Claimant(s): The John Thomas Caudill Revocable Living
Claimant Lawyers(s): Ginger R. Robinson
Respondent(s): Breanne Morgan, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): James N. D'Orso, John Edward Bersin, Arocles Aguilar
Hearing Site: Reno, NV
| | $0 |
| 12-02243 | 06/11/2013 | Claimant(s): Garrett Grove
Claimant Lawyers(s): John D. Grove
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 12-02476 | 03/20/2013 | Claimant(s): Gregory Lorenz
Claimant Lawyers(s): Gregory M. Lorenz
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | Expungement |
| 11-01483 | 07/20/2012 | Claimant(s): Kurt Pham
Claimant Lawyers(s): Kurt Huy Pham
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Mary Curran, Lester Friedman, Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 11-00885 | 07/10/2012 | Claimant(s): Alfred Richardson, Alfred W. Richardson IRA
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Mark Sumsion, Scott Garbutt, Stonehurst Securities.
Respondent Lawyers(s): Phillip Borup, Wm. Kelly Nash
Arbitrator(s): Michelle Judy Brant, William W. Haskell, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Expungement |
| 10-01727 | 04/04/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Kim Nordmo
Respondent Lawyers(s): Mark J. Astarita
Arbitrator(s): Ferdinand Schoch, Arocles Aguilar, Peter Anthony Sigal
Hearing Site: San Francisco, CA
| | |
| 10-05528 | 02/28/2012 | Claimant(s): Corrado Federico 2005 Restated Revocable
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): Stone & Youngberg LLC
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Peter H. Daly, Arocles Aguilar, Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | $0 |
