| 10-04407 | 12/06/2013 | Claimant(s): Guadalupe Sandoval, Javier Chavez, Jose Fuentes, Maria Conchita Alonso, Roberto I. Nogales
Claimant Lawyers(s): Joseph C. Peiffer
Respondent(s): Rafael Sanchez, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kenneth C. Mennemeier, Rafael R. Sanchez
Arbitrator(s): Michael D. Harrison, Neil S. Jasper, Daniel Su
Hearing Site: Los Angeles, CA
|  | Stipulated Award |
| 13-00340 | 09/20/2013 | Claimant(s): Rachael Konz
Claimant Lawyers(s): Kenneth C. Mennemeier
Respondent(s): Marlene Wade
Respondent Lawyers(s): John M. Goralka
Arbitrator(s): Alexander L. Mazour, Linda M. McCoy, Michael J. Fish
Hearing Site: San Francisco, CA
| | Expungement |
| 11-04157 | 02/26/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Kenneth C. Mennemeier
Respondent(s): Anil Shah, Preeti Shah
Respondent Lawyers(s): Hari S. Lal
Arbitrator(s): Michael R. Mitchell
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 11-01507 | 11/19/2012 | Claimant(s): Karen Gragirena, Melchor Gragirena
Claimant Lawyers(s): Howard B. Miller
Respondent(s): Catherine Card, Gabriel Woodward, Banc of America Investment Services Inc., Thomas Woodward
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Walter S. Weiss, Daniel David Kopman, George Frederick Garris
Hearing Site: Los Angeles, CA
| | Expungement |
| 08-04498 | 01/06/2012 | Claimant(s): Judith Rutherford
Claimant Lawyers(s): Judith Rutherford
Respondent(s): Andrew Anagnostou, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Richard B. Bullock, James S. Martin, Michael J. Fish
Hearing Site: San Francisco, CA
| | $0 |
| 09-03931 | 10/03/2011 | Claimant(s): Lulu Coffey, Robert Coffey, Robert & Lulu Coffey Living Trust dd 11/, Scott P. Keil Trust U/W, FBO Douglas Kei
Claimant Lawyers(s): David Harrison
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): John Alen DeRosa, Madeleine Kleinman, Melvin S. Feldman, Adam Michael Porter, Marc S. Joseph, Christopher L. Mass
Hearing Site: Los Angeles, CA
| | $0 |
| 10-01546 | 07/05/2011 | Claimant(s): Susan Inbar-Grecco, Susan Inbar-Grecco Trust dtd 9/13/1989
Claimant Lawyers(s): Jared R. B. Hutton
Respondent(s): Jose Lamas, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Michael R. Mitchell, Joyce L. Hurley, Marvin B. Karelitz
Hearing Site: Los Angeles, CA
| | $0 |
| 09-02727 | 02/28/2011 | Claimant(s): Ronald Woolworth
Claimant Lawyers(s): Randy J. Aliment
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Robert M. Stein, Clarence F. Roed, Sally Phillips Pasette
Hearing Site: Seattle, WA
| | $0 |
| 09-04336 | 10/12/2010 | Claimant(s): Geraldine Bell
Claimant Lawyers(s): Geraldine L. Bell
Respondent(s): James Rudwall, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Alvin L. Fishman, Gary Timothy Haight, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 07-02954 | 05/07/2010 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Jack Ballard
Respondent(s): Wachovia Securities, Stifel, Nicolaus & Co.., Gene Diedrich, Michael Nielsen
Respondent Lawyers(s): Andrew J. Shapren, Jack Ballard, Kenneth C. Mennemeier, Kristina L. Cashion
Arbitrator(s): Helen Marinak Blohm, Mark R. Palmer, M. Scott Donahey
Hearing Site: San Francisco, CA
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