| 16-00589 | 05/17/2019 | Claimant(s): Dana Smith
Claimant Lawyers(s): Dana Smith
Respondent(s): Anthony Minerva, Clayton Sontag, Daniel Dvorznak, Eric Arlt, Joseph Shea, Kenneth Fay, Nicholas Tsikitas
Respondent Lawyers(s): Anthony Minerva, Clayton Robert Sontag, Daniel Dvorznak, Eric David Arlt, Joseph Shea, Kenneth Patrick Fay, Nicholas George Tsikitas
Arbitrator(s): Jonathan H. Krotinger, Susan J. Alexander, Robert James Favole
Hearing Site: San Francisco, CA
|  | $0 |
| 13-03716 | 06/16/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Andrew Spivey
Respondent Lawyers(s): Andrew G. Spivey
Arbitrator(s): Herb Schwartz, Gary A. Hooker, Susan J. Alexander
Hearing Site: San Francisco, CA
| | |
| 13-00342 | 09/30/2014 | Claimant(s): Cynthia Siegle Trust, DTD 6/26/1990
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Susan J. Alexander, Ralph L. Jacobson, Anne M. Lawlor Goyette
Hearing Site: San Francisco, CA
| | Expungement |
| 11-02623 | 02/12/2013 | Claimant(s): Michael Myers, Susan Myers, Michael F. Myers MA Trust dtd 10/23/08, Michael F. Myers MA Trust dtd 12/3/08, Susan K. Myers Living Trust dtd 1/8/01, Susan Myers MA Trust dtd 7/11/08
Claimant Lawyers(s): Charles N. Freiberg
Respondent(s): Deutsche Bank Securities., Oppenheimer & Co.., Karl Hahn
Respondent Lawyers(s): Allan N. Taffet, Karl E. Hahn, Philip A. McLeod
Arbitrator(s): Linda M. Deola, Jonathan H. Krotinger, Susan J. Alexander
Hearing Site: San Francisco, CA
| | $934,193 |
| 08-03781 | 03/25/2011 | Claimant(s): Vincent Dang
Claimant Lawyers(s): Adam D. Mitzner
Respondent(s): Arnoldo Santiago, Cynthia Shen, Marla Moskowitz-Hesse, Merrill Lynch Pierce Fenner & Smith Inc., Michael Chiou, Patricia Williams, Riley Etheridge
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Dean J. Dietrich, Terri Coster Boesch, Susan J. Alexander
Hearing Site: San Francisco, CA
| | |
| 07-01145 | 03/10/2008 | Claimant(s): David Castillo
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Harry B. Endsley, James Conrad Riewerts, Susan J. Alexander
Hearing Site: San Francisco, CA
| | |
