| 13-02805 | 07/07/2015 | Claimant(s): Christine McBroom
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Edward Jones
Respondent Lawyers(s): Will P. Riffelmacher
Arbitrator(s): Frank R Weaver, Pamela S. Mann, James G. Gillivan
Hearing Site: San Francisco, CA
| | |
| 13-00509 | 10/30/2014 | Claimant(s): Alex Vitale
Claimant Lawyers(s): Howard E. King
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Douglas W. Oldfield, Pamela S. Mann, Louis Anthony Napoli
Hearing Site: San Francisco, CA
| | |
| 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
| | |
| 12-02202 | 07/21/2014 | Claimant(s): Annette Liebergesell, Bernd Liebergesell, Daniel White, Donald Bill, Gloria Bill, Dan White Revocable Living Trust, The Bill Family Trust dtd Nov. 05, 2003
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Dennis Pettinelli, Signator Investors., Wells Investment Securities.
Respondent Lawyers(s): Gregory T. Fayard, Marc V. Allaria, Richard B. Hopkins
Arbitrator(s): Richard L. Rubin, Pamela S. Mann, Shawn Ridgell
Hearing Site: San Francisco, CA
| | Expungement |
| 11-03992 | 04/25/2013 | Claimant(s): Roberta Jessop, Raymond Eugene & Roberta Jessop Rev Trst
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Sheldon Schumaker, Pruneyard Financial Group., Western International Securities.
Respondent Lawyers(s): Andrew D. Castricone, Daniel S. Kubasak
Arbitrator(s): Carl B. Noelke, Pamela S. Mann, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
|  | Expungement |
