| 13-03274 | 03/31/2015 | Claimant(s): Roberta Franklin, The Downey Brand, LLP Employment Retirem, Roberta Lee Franklin IRA
Claimant Lawyers(s): Roberta Lee Franklin
Respondent(s): Edward Stadjuhar, Sagepoint Financial., Strategic Wealth Advisors Group
Respondent Lawyers(s): Gregory T. Fayard, Kasumi L. Takahashi
Arbitrator(s): Ralph A. Cotton, Michael J. Fish, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
|  | Expungement |
| 13-00366 | 12/08/2014 | Claimant(s): Michael Hammel, Michael D. Hammel IRA
Claimant Lawyers(s): Ryan Cook, Samuel B. Edwards
Respondent(s): James Bernthal, Qi Huang, Stephen Grivas, Upinder Sharma, Obsidian Financial Group
Respondent Lawyers(s): James Rhys Bernthal, Kevin Sharma, Qi Huang, Stephen Grivas, Upinder Kumar Sharma
Arbitrator(s): Kathryn J. Toronto, Barbara M. Anscher, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | $182,932 |
| 13-01664 | 08/27/2014 | Claimant(s): Noriel Campos
Claimant Lawyers(s): Ryan T. Dunn
Respondent(s): Beth Kirkland, Wells Fargo Advisors, George Von Zedlitz, Kevin Kitchin, Wilton Owyang
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Sheldon Michaels, Clifford A. Threlkeld, John Burritt McArthur
Hearing Site: San Francisco, CA
| | |
| 09-05542 | 03/08/2011 | Claimant(s): Arthur Cargill, Maryann Cargill, Cargill-Beacon Point, Cargill-Mansell Plaza
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): James Files
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Donald S. Duerson, Paul F. Faberman, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | $87,432 |
