| 14-00771 | 07/16/2015 | Claimant(s): Frances Axelrad, Jonathan Axelrad
Claimant Lawyers(s): Jotham S. Stein
Respondent(s): Cira Nickerson, Eugene Gordon, Morgan Stanley
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): James N. D'Orso, Sterling N. Frost, Norman Dale Menegat
Hearing Site: San Francisco, CA
|  | $325,526 |
| 12-02201 | 08/26/2014 | Claimant(s): Bradley Berdow, Christopher Crowson
Claimant Lawyers(s): Philip M. Aidikoff
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Vincent J. Natoli, James M. Goldberg, Herbert Siegfried Emmrich
Hearing Site: Los Angeles, CA
| | |
| 10-05070 | 02/25/2013 | Claimant(s): Chad Wolsmann, Daniel Wood
Claimant Lawyers(s): Aaron R. Thom
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): John C. DeMoss, David F. Schmitz, Frank Edward Hermann
Hearing Site: Minneapolis, MN
| | |
| 11-02442 | 10/02/2012 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Angelina Chew
Respondent(s): Jon Javellana, Kenneth Ro, Barclays Capital Inc.
Respondent Lawyers(s): Christopher A. Stecher, Naki Irvin
Arbitrator(s): Robert A. Lombardi, Eric Gad Forster, Ara Kassabian
Hearing Site: Los Angeles, CA
| | |
| 10-01847 | 08/26/2011 | Claimant(s): George Putnam
Claimant Lawyers(s): Justin T. Berger
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Frank R Weaver, Michael J. Fish, Kevin C. Coleman
Hearing Site: San Francisco, CA
| | $127,944 |
| 09-03077 | 11/29/2010 | Claimant(s): Patricia Chapman, Patricia Tynan Chapman Trust UAD 9/26/90
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Peter H. Daly, Jonathan Holman Hathaway, Charles Eugene Markley
Hearing Site: San Francisco, CA
| | $1,500,000 |
