| 19-00499 | 06/10/2019 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Robert Graham
Respondent Lawyers(s): Robert Richard Graham
Arbitrator(s): Ralph L. Jacobson
Hearing Site: San Francisco, CA
| | |
| 17-01179 | 04/02/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Travis Marks
Respondent Lawyers(s): Travis M Marks
Arbitrator(s): Ralph L. Jacobson
Hearing Site: San Francisco, CA
| | |
| 15-01067 | 10/04/2017 | Claimant(s): Hugh Cotter, Susan Coghlan
Claimant Lawyers(s): Christopher P. Mader
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Ralph L. Jacobson, David Martin Achterkirchen, Robert Mallin Hirsch
Hearing Site: San Francisco, CA
|  | Expungement |
| 16-03086 | 03/20/2017 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Patrick Bennett
Respondent Lawyers(s): Patrick Glenn Bennett
Arbitrator(s): Ralph L. Jacobson
Hearing Site: San Francisco, CA
| | |
| 16-00852 | 03/02/2017 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): Andrew Spivey
Respondent Lawyers(s): Andrew Gary Spivey
Arbitrator(s): Dean J. Dietrich, Ralph L. Jacobson, Rahul K. Surana
Hearing Site: San Francisco, CA
| | |
| 15-00156 | 08/30/2016 | Claimant(s): Michael Hammel
Claimant Lawyers(s): Ryan Cook
Respondent(s): Michael Regina
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Mary Margaret Bush, Ralph L. Jacobson, Eric Carl Aker
Hearing Site: San Francisco, CA
| | $183,232 |
| 11-04285 | 01/16/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John R. Bamford
Respondent(s): Michael Doyle
Respondent Lawyers(s): Michael Britt Doyle
Arbitrator(s): Gary H. Kahn, Terri Coster Boesch, Ralph L. Jacobson
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 |
| 13-02733 | 05/15/2014 | Claimant(s): Consuelo Tagalog, Sylvio Tagalog
Claimant Lawyers(s): Sylvio Tagalog
Respondent(s): Andrew Callejo, First Brokerage America, L.L.C.
Respondent Lawyers(s): Judith Payuk
Arbitrator(s): Ralph L. Jacobson
Hearing Site: San Francisco, CA
| | $600 |
| 11-04282 | 01/04/2013 | Claimant(s): Herman Fitzgerald
Claimant Lawyers(s): Nicholas A. Rogers
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Frank R Weaver, Edwin C. Shiver, Ralph L. Jacobson
Hearing Site: San Francisco, CA
| | Expungement |
