17-00043 | 07/16/2018 | Claimant(s): Mary Millman Claimant Lawyers(s): Val D. Hornstein Respondent(s): Ankit Sahu, UBS Financial Services Inc. Respondent Lawyers(s): Philip A. McLeod, Robert J. Girard Arbitrator(s): Robert M. Smith, Kevin C. Coleman, Glenn Paul Gilbert Hearing Site: San Francisco, CA
| | $0 |
16-03174 | 03/07/2018 | Claimant(s): Gary Fields, Marjorie Fields, Gary B. Fields Roth IRA, Gary B. Fields Traditional IRA, Marjorie Fields Traditional IRA, Fields Family Trust U/A DTD 10/04/1994 Claimant Lawyers(s): Cary S. Lapidus Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Philip A. McLeod Arbitrator(s): Laurel Littman Gothelf, Robert M. Smith, Norman Dale Menegat Hearing Site: San Francisco, CA
| | Expungement |
16-00443 | 11/03/2016 | Claimant(s): The Atle Fjeld and Kirsten Fjeld joint L Claimant Lawyers(s): Atle Fjeld Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Philip A. McLeod Arbitrator(s): Cornelius C. Clancy, Gordon M. Wase, Frank P. Santangelo Hearing Site: Philadelphia, PA
| | $10,000 |
11-02623 | 02/12/2013 | Claimant(s): Michael Myers, Susan Myers, Michael F. Myers MA Trust dtd 10/23/08, Michael F. Myers MA Trust dtd 12/3/08, Susan K. Myers Living Trust dtd 1/8/01, Susan Myers MA Trust dtd 7/11/08 Claimant Lawyers(s): Charles N. Freiberg Respondent(s): Deutsche Bank Securities., Oppenheimer & Co.., Karl Hahn Respondent Lawyers(s): Allan N. Taffet, Karl E. Hahn, Philip A. McLeod Arbitrator(s): Linda M. Deola, Jonathan H. Krotinger, Susan J. Alexander Hearing Site: San Francisco, CA
| | $934,193 |
11-02431 | 12/20/2012 | Claimant(s): Irvin Welch Claimant Lawyers(s): Jan Graham Respondent(s): Wachovia Securities, Dwayne Alpers, Louis Navellier Respondent Lawyers(s): Joseph E. Floren, Philip A. McLeod Arbitrator(s): George J. Karlsven, Joan M. Traub, Michael G. Clark Hearing Site: Salt Lake City, UT
| | Expungement |
10-05677 | 11/28/2011 | Claimant(s): Cynthia Stirling, Cynthia L. Stirling IRA Rollover, Cynthia L. Stirling SEP IRA, Cynthia L. Stirling Living Trust, Cynthi Claimant Lawyers(s): James R. Walsh Respondent(s): Wells Fargo Advisors, James Dowley Respondent Lawyers(s): Philip A. McLeod Arbitrator(s): Helen Marinak Blohm, Mary Curran, Ferdinand Schoch Hearing Site: San Francisco, CA
| | $0 |
09-04335 | 06/14/2010 | Claimant(s): The Marvin McCray IRA, The McCray Living Trust UA DTD 07/30/82 Claimant Lawyers(s): Linda Hayes Respondent(s): Wachovia Securities Respondent Lawyers(s): Philip A. McLeod Arbitrator(s): Thomas C. McNally, Juleanne A. Thiebaut, Gail Killefer Hearing Site: San Francisco, CA
| | $0 |
08-03904 | 04/20/2010 | Claimant(s): Kathleen Pomeroy, The Marital Deduction Trust, The Pomeroy Bypass Trust, The Pomeroy Family Trust Claimant Lawyers(s): Samuel B. Edwards Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Philip A. McLeod Arbitrator(s): Jane Bradley, William A. Husa, Mary Margaret Bush Hearing Site: San Francisco, CA
| | $768,944 |
08-01764 | 02/05/2010 | Claimant(s): Kenneth A. Schwieterman Claimant Lawyers(s): Rebecca C. Davis Respondent(s): Charles Schwab & Co.., Thompson Investment Advisors. Respondent Lawyers(s): Matthew F. Coogle, Philip A. McLeod Arbitrator(s): Frederick W. Snyder, R. Van Young, Billy G. Hopkins Hearing Site: Louisville, KY
| | $0 |
08-02173 | 10/02/2009 | Claimant(s): Laurence Rivkin, the IRA Rollver, LNR Family Trust dtd 08/02/1987 Claimant Lawyers(s): Brian D. Miller Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management Inc, The Charles Schwab Corporation Respondent Lawyers(s): Philip A. McLeod Arbitrator(s): Judith A. Gust, Steven A. Fox, Michael D. Briggs Hearing Site: San Diego, CA
| | $327,245 |