| 22-01567 | 08/04/2023 | Claimant(s): Paul Knoblich
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Foothill Securities.
Respondent Lawyers(s): Jeff Naylor
Arbitrator(s): Carlos Richard Mangum, Daniel M. Yamshon, Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 20-03285 | 04/28/2021 | Claimant(s): William Biddle
Claimant Lawyers(s): Damon Booth
Respondent(s): Edward Jones, Michael Goodwin
Respondent Lawyers(s): Bentley P. Stansbury, Michael Goodwin
Arbitrator(s): Carlos Richard Mangum, David J. Romanski, Arocles Aguilar
Hearing Site: Reno, NV
|  | Expungement |
| 08-03708 | 09/09/2020 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Dane Brinkman
Respondent Lawyers(s): Daren R. Brinkman
Arbitrator(s): Carlos Richard Mangum, James R. Dickson, Linda P. Drucker
Hearing Site: San Francisco, CA
| | |
| 17-01023 | 06/13/2018 | Claimant(s): Leslie Baronian, The Birgitta Baronian Decedent's Trust
Claimant Lawyers(s): Cary S. Lapidus, Nancy C. Field
Respondent(s): Dustin Brown, RBC Capital Markets LLC
Respondent Lawyers(s): Abe Lampart, Michael M. Gless
Arbitrator(s): Carlos Richard Mangum, Minnie Loo, Kenneth Paul Strongman
Hearing Site: San Francisco, CA
| | Expungement |
| 16-00720 | 01/31/2018 | Claimant(s): Jerry McMillon, Jerry A. McMillon Living Trust Under Agr
Claimant Lawyers(s): Mark A. Pruner
Respondent(s): Jason Jaffee, Wells Fargo Advisors, Wells Fargo Securities, John Lee, Wells Fargo Company
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Carlos Richard Mangum, Dean J. Dietrich, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Expungement |
| 14-02314 | 11/10/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julie L. Taylor
Respondent(s): Kenneth Winn
Respondent Lawyers(s): Kenneth Allen Winn
Arbitrator(s): Carlos Richard Mangum, Thomas D. Reese, Fern M. Laethem
Hearing Site: San Francisco, CA
| | |
| 14-01758 | 03/09/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Keith Steel, Megan Steel, Anpei Lin, Community Property
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Loyd Paxton Derby, Carlos Richard Mangum, Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | Expungement |
| 14-00662 | 08/18/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): The Solomon Living Trust
Respondent Lawyers(s): William B. Young
Arbitrator(s): Carlos Richard Mangum, James N. D'Orso, Linda M. McCoy
Hearing Site: San Francisco, CA
| | Expungement |
| 13-00429 | 01/30/2014 | Claimant(s): Patrick Van Hien
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): PCBB Capital Markets.
Respondent Lawyers(s): Daryl S. Landy
Arbitrator(s): Helen Marinak Blohm, Carlos Richard Mangum, Shawn Ridgell
Hearing Site: San Francisco, CA
| | |
| 10-03787 | 08/30/2013 | Claimant(s): Snow Jaynes, Snow Jaynes IRA, Snow E. Jaynes Living Trust 09/01/1999
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Daniel Shea
Respondent Lawyers(s): Daniel Shea
Arbitrator(s): Carlos Richard Mangum, Philip Aaron Tymon, Fern M. Laethem
Hearing Site: Los Angeles, CA
| | $442,070 |
