04-00772 | 04/16/2009 | Claimant(s): Isabelita Nopuente, OB1 Ltd Claimant Lawyers(s): James Jay Seltzer Respondent(s): Cornelius Choy, H.D. Vest Investment Services Respondent Lawyers(s): Gary S. Kessler, Robert T. Sullwold Arbitrator(s): Thomas H. O'Connor, Peter H. Daly, Joseph A. Lasky Hearing Site: San Francisco, CA
| | $0 |
06-00618 | 12/17/2007 | Claimant(s): Steven Thompson Claimant Lawyers(s): James Jay Seltzer Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Kathleen S. Adams Arbitrator(s): Thomas D. Reese, Dean J. Dietrich, Steven K. McGinnis Hearing Site: San Francisco, CA
| | $0 |
06-01699 | 11/21/2007 | Claimant(s): Mildred Bierce, Mildred E. Bierce IRA Claimant Lawyers(s): James Jay Seltzer Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Eric J. Glassman Arbitrator(s): John J. Fitzpatrick, William Michael Samsel, Mark Aaron Jones Hearing Site: San Francisco, CA
| | $250 |
03-02127 | 11/02/2007 | Claimant(s): William F. Garland Claimant Lawyers(s): James Jay Seltzer Respondent(s): Dale Low, Eric Salz, Charles Schwab & Co.., Samuel Berger, SDR Capital Management. Respondent Lawyers(s): Brian A. Carlis, Richard A. Karoly Arbitrator(s): Sterling N. Frost, Peter Kassel, Bradley C. Mitchell Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |