| 18-00527 | 07/26/2019 | Claimant(s): Zoe Cordova-McCarthy, Liberty Lighting & Fixture Supply Co.
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Ameriprise Financial Services., Riversource Distributors.
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Brian Kimball
Hearing Site: San Francisco, CA
|  | Expungement |
| 16-01680 | 11/24/2017 | Claimant(s): April Barnes, James Barnes
Claimant Lawyers(s): Jacob M. Merrill
Respondent(s): Stifel, Nicolaus & Co.., Marc Kozuki
Respondent Lawyers(s): Ben Suter
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Honolulu, HI
| | $90,225 |
| 15-02267 | 03/21/2017 | Claimant(s): Barbara Morris, Barbara L. Morris Revocable Trust, Charles F. Morris, Jr. Irrevocable Trust
Claimant Lawyers(s): Douglas W. Oldfield
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Ben Suter
Arbitrator(s): John P. Wilson, Jonathan H. Krotinger, William J. Petzel
Hearing Site: San Francisco, CA
| | $500,375 |
| 13-02621 | 08/16/2016 | Claimant(s): Hopi Tribe
Claimant Lawyers(s): Joe Kronawitter
Respondent(s): Daniel Allen, David Boling, James Roy, Morgan Keegan & Company., Richard Murray, William Thompson
Respondent Lawyers(s): Ben Suter, Joseph L. Hood
Arbitrator(s): William M. Howard, Delores Manwar, Roger A. Geddes
Hearing Site: Phoenix, AZ
| | Expungement |
| 10-01194 | 06/26/2013 | Claimant(s): United Micronesia Development Assoc.
Claimant Lawyers(s): Robert J. O'Connor
Respondent(s): Wells Fargo Advisors, James Davis, Sanders Morris Harris Inc.
Respondent Lawyers(s): Ben Suter, Peter B. Wells, Will S. Montgomery
Arbitrator(s): Carol M. Egan, Elmo E. Wedderburn, Tobin B. Swanson
Hearing Site: Honolulu, HI
| | $100,000 |
| 09-02053 | 11/04/2010 | Claimant(s): Thermo Dynamics Inc.
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Katherine M. Harmeyer, Ralph H. Martin, Deana S. Peck
Hearing Site: Phoenix, AZ
| | $0 |
| 09-00415 | 09/07/2010 | Claimant(s): Laurel Blau Revocable Trust
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Robert L. Agusto, James F. Carlson, David M. Fetter
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 09-00588 | 02/02/2010 | Claimant(s): Alan Yaghdjian, Mireille Yaghdjian
Claimant Lawyers(s): Kenneth H. Stone
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Lester G. Stiel, Guenter S. Cohn, Steven A. Fox
Hearing Site: San Diego, CA
| | $0 |
| 06-02011 | 06/04/2008 | Claimant(s): John G., and Marcia Y. Wang
Claimant Lawyers(s): John G. Wang
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Yuchia Lin
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Nicholas J. Caputo, Jane Bradley, Nick G. Tarlson
Hearing Site: San Francisco, CA
| | $0 |
| 06-03867 | 09/07/2007 | Claimant(s): Alfonso Pena, Alfonso C. Pena 2004 Rev. Living Trust
Claimant Lawyers(s): Drew D. Hansen, Robert A. Uhl
Respondent(s): Donald Gloisten, Gerard Gloisten, GBS Advisors, GBS Financial Corp.
Respondent Lawyers(s): Ben Suter
Arbitrator(s): James H. Frank, Dean Schneider, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | $586,095 |
