| 14-00307 | 09/08/2016 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Michael Zent, Nicolas Tabellion
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Isidoro Berkman, Gary S. DeWeese, Mark Edward Hoaglin
Hearing Site: San Francisco, CA
| | |
| 15-00885 | 07/26/2016 | Claimant(s): Roscoe Goehring, Sally Goehring
Claimant Lawyers(s): Sheila Hollander
Respondent(s): Ameriprise Financial Services., Randall Samson, Scott Esco
Respondent Lawyers(s): Chad Weaver, Elizabeth Poletti, Timothy N. Will
Arbitrator(s): Isidoro Berkman, Sterling N. Frost, Michael Craig Butterworth
Hearing Site: San Francisco, CA
|  | Expungement |
| 13-03071 | 12/02/2015 | Claimant(s): Genesis Venture Capital Corporation, S.E.A. Land Development
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): TD Ameritrade., Thinkorswim.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Isidoro Berkman, Sterling N. Frost, Douglas J. Pavese
Hearing Site: San Francisco, CA
| | $0 |
| 13-01431 | 10/28/2014 | Claimant(s): Alfred Scott
Claimant Lawyers(s): Alfred Lee Scott
Respondent(s): A. Eddleman, Christian Eddleman, FSC Securities Corporation, Lea Goodman
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Isidoro Berkman, Nicholas J. Caputo, Pamela S. Mann
Hearing Site: San Francisco, CA
| | |
| 06-02977 | 03/07/2008 | Claimant(s): Rayna Brown
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): J.P. Morgan Securities., John Anderson, PFG Distribution Company
Respondent Lawyers(s): Robert J. Stumpf, Jr.
Arbitrator(s): Isidoro Berkman, William Michael Samsel, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | $99,963 |
