| 12-02229 | 12/20/2012 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Eric Savell
Respondent Lawyers(s): Oriet Cohen-Supple
Arbitrator(s): Linda M. McCoy, Vivian L. Kral, Mary Kay Higgins Crockett
Hearing Site: San Francisco, CA
| | |
| 12-01677 | 10/19/2012 | Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette P. Morales
Respondent(s): Don Miller, Donald C. Miller Cust IRA Rollover, Donald C. Miller Cust Roth Contrib, IRA
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): James N. D'Orso, Jerold R. Babin, Linda M. McCoy
Hearing Site: San Francisco, CA
| | Expungement |
| 10-04062 | 12/06/2011 | Claimant(s): Mary Iandiorio, Mary Ann Iandiorio Trust
Claimant Lawyers(s): Brett Alcala
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Frank R Weaver, Linda M. McCoy, Martin Joel Fassler
Hearing Site: San Francisco, CA
|  | Expungement |
| 10-00241 | 10/18/2011 | Claimant(s): Martin Padilla, Ronald Rzesniowiecki, Sherlock Revocable Living Trust
Claimant Lawyers(s): Brian Levin
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Walter P. Hitchcock, Linda M. McCoy, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | Expungement |
| 10-01624 | 08/31/2011 | Claimant(s): Bryce Jones, Sevi Jones, Jones Family Trust
Claimant Lawyers(s): S. Brett Sutton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Nicholas J. Caputo, Linda M. McCoy, Christopher J. Hadsell
Hearing Site: San Francisco, CA
| | Expungement |
| 10-02167 | 05/06/2011 | Claimant(s): Kimon Peter Daifotis
Claimant Lawyers(s): Kendra S. Canape
Respondent(s): Jinni A. Harrigan Trust U/A dtd 4/26/02
Respondent Lawyers(s): Thomas Mauriello
Arbitrator(s): Linda M. McCoy, Philip Aaron Tymon, Janet Marie Krug
Hearing Site: San Francisco, CA
| | Expungement |
| 10-00243 | 01/28/2011 | Claimant(s): Michael Patnode
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Jerry Anderson, E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Linda M. McCoy
Hearing Site: San Francisco, CA
| | Expungement |
| 09-04022 | 06/25/2010 | Claimant(s): Salma Keith
Claimant Lawyers(s): Salma S. Keith
Respondent(s): Clay Evans, Wells Fargo Investments
Respondent Lawyers(s): Kenneth C Mennemeier
Arbitrator(s): Linda M. McCoy
Hearing Site: San Francisco, CA
| | $5,000 |
| 07-02470 | 03/04/2008 | Claimant(s): FE & Janet A. White Revocable Living
Claimant Lawyers(s): Frederic Enoch White
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Linda M. McCoy
Hearing Site: San Francisco, CA
| | $25,000 |
| 06-03597 | 11/06/2007 | Claimant(s): Estate of Vera L. Freeberg
Claimant Lawyers(s): Jay William Jacobus
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Herb Schwartz, Linda M. McCoy, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | $0 |
