| 10-01727 | 04/04/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Kim Nordmo
Respondent Lawyers(s): Mark J. Astarita
Arbitrator(s): Ferdinand Schoch, Arocles Aguilar, Peter Anthony Sigal
Hearing Site: San Francisco, CA
| | |
| 09-00090 | 03/21/2012 | Claimant(s): Barry Pollack, Scott Pollack, Barry & Kimberly Pollack Family Trust, Evelyn H. Pollack Grandchildren Trust
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Christopher China, Eric Arlt, Itradedirect.Com Corp
Respondent Lawyers(s): Brian Sanders, Christopher M. China, Eric D. Arlt
Arbitrator(s): Ferdinand Schoch, Mark R. Harris, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | |
| 11-00800 | 03/16/2012 | Claimant(s): David Taylor
Claimant Lawyers(s): William R. Warne
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Ferdinand Schoch, Laurel Littman Gothelf
Hearing Site: San Francisco, CA
|  | Expungement |
| 09-03660 | 02/16/2012 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Fuad Mansour, Signator Investors., John Hancock Mutual Life Insurance Com
Respondent Lawyers(s): John C. Holmes, Mark J Hancock, William A. Gottlieb
Arbitrator(s): Ferdinand Schoch, Robert Hilton Keller, Edward J. Harkins
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
| 09-06643 | 01/11/2012 | Claimant(s): Aslam Ahmed, Ayfer Ahmed
Claimant Lawyers(s): Irwin Stein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Crow, Patricia Williams
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Ferdinand Schoch, Ronald Chun, Charles Eugene Markley
Hearing Site: San Francisco, CA
| | $0 |
| 10-02632 | 01/06/2012 | Claimant(s): Kline Enterprises.
Claimant Lawyers(s): Richard M. Layne
Respondent(s): Securities America., Thomas Goodson, William Rice, Brecek & Young Advisors.
Respondent Lawyers(s): Brandon S. Reif, Chad E. Weaver, Terrance DeWald
Arbitrator(s): Ferdinand Schoch, Alexandra M. Linden, Fern M. Laethem
Hearing Site: Los Angeles, CA
| | $0 |
| 10-05677 | 11/28/2011 | Claimant(s): Cynthia Stirling, Cynthia L. Stirling IRA Rollover, Cynthia L. Stirling SEP IRA, Cynthia L. Stirling Living Trust, Cynthi
Claimant Lawyers(s): James R. Walsh
Respondent(s): Wells Fargo Advisors, James Dowley
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Helen Marinak Blohm, Mary Curran, Ferdinand Schoch
Hearing Site: San Francisco, CA
| | $0 |
| 10-05028 | 09/30/2011 | Claimant(s): William Dale Kelly and Joan Hull Trust
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Lawrence Miller, Investment Security Corporation
Respondent Lawyers(s): Lawrence Benjamin Miller, Lee David Lubin
Arbitrator(s): Ferdinand Schoch, Gary S. DeWeese, Richard Ullman
Hearing Site: San Francisco, CA
| | $0 |
| 10-01568 | 06/23/2011 | Claimant(s): Stephen Kelleher
Claimant Lawyers(s): David H.S. Commins
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John W. Stenson
Arbitrator(s): Ferdinand Schoch, Walter P. Hitchcock, James R. Dickson
Hearing Site: San Francisco, CA
| | |
| 10-00040 | 04/29/2011 | Claimant(s): Barry Burgess
Claimant Lawyers(s): Barry Burgess
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Ferdinand Schoch, F. Conger Fawcett, Gary H. Kahn
Hearing Site: San Francisco, CA
| | $0 |
