| 18-00140 | 05/17/2018 | Claimant(s): Bartlett Miller
Claimant Lawyers(s): Bartlett L Miller
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Thomas D. Reese
Hearing Site: Portland, OR
|  | $0 |
| 17-02462 | 04/06/2018 | Claimant(s): Bradley Glasman
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 16-00027 | 04/26/2017 | Claimant(s): Richard Trust
Claimant Lawyers(s): Stan Schuldiner
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): John J. Flynn, Thomas D. Reese, William J. Petzel
Hearing Site: San Francisco, CA
| | $27,642 |
| 15-01635 | 01/19/2017 | Claimant(s): Alan Barrett, Margaret Barrett
Claimant Lawyers(s): Robert B. Ingram
Respondent(s): LPL Financial LLC, Ernest Renner, Steven Lambert
Respondent Lawyers(s): Amir Tadjedin, Ryan Probstfeld, Thomas Franklin Barnett
Arbitrator(s): Thomas D. Reese, Jonathan H. Krotinger, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | $0 |
| 16-00630 | 08/02/2016 | Claimant(s): Estate of Linda Polley
Claimant Lawyers(s): R. Douglas Collier
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Thomas D. Reese
Hearing Site: Seattle, WA
| | $425 |
| 16-00121 | 01/27/2016 | Claimant(s): Barbara Padilla, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): Brent Wolf
Respondent Lawyers(s): Scott L. Metzger
Arbitrator(s): Alexandra M. Linden, Thomas D. Reese, Peter H. Daly
Hearing Site: San Francisco, CA
| | Expungement |
| 14-02314 | 11/10/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julie L. Taylor
Respondent(s): Kenneth Winn
Respondent Lawyers(s): Kenneth Allen Winn
Arbitrator(s): Carlos Richard Mangum, Thomas D. Reese, Fern M. Laethem
Hearing Site: San Francisco, CA
| | |
| 12-00013 | 08/25/2015 | Claimant(s): S & S Farms.
Claimant Lawyers(s): Richard Sacks
Respondent(s): Philip Pizelo, Shanon Ford, Toni Sutherland
Respondent Lawyers(s): David Wakukawa, Philip A. Pizelo, Shanon L. Ford
Arbitrator(s): James N. D'Orso, Thomas D. Reese, Edward J. Harkins
Hearing Site: San Francisco, CA
| | Expungement |
| 13-01502 | 10/10/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Bradley Gardner, Daniel Catone, Michael Gibson
Respondent Lawyers(s): Alan M. Steinberg, Cary S. Lapidus
Arbitrator(s): Paul J. Dubow, Thomas D. Reese, Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 13-01974 | 10/08/2014 | Claimant(s): Nancy Battel
Claimant Lawyers(s): Nancy M. Battel
Respondent(s): Aileen Low, Edward Jones, Benetech.
Respondent Lawyers(s): Jennifer M. Porter, Rene I. Gamboa
Arbitrator(s): Thomas D. Reese, Peter H. Daly, Louis Anthony Napoli
Hearing Site: San Francisco, CA
| | Expungement |
