| 12-00893 | 06/13/2013 | Claimant(s): Maxine Pope, Michael Pope, The Maxine O. Pope Trust Dated 04-05-90, The Michael Pope Trust Dated 06-09-08
Claimant Lawyers(s): Michael Hume, Thomas C. Bradley
Respondent(s): Wells Fargo Advisors, John Carlsen
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): Thomas D. Reese, Mary Margaret Bush, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
|  | Expungement |
| 08-03388 | 10/30/2012 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Dermot Durnin
Respondent Lawyers(s): Dermot Durnin
Arbitrator(s): Douglas E. DeTata, Laurel Littman Gothelf, Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 11-01158 | 09/25/2012 | Claimant(s): Jamal Abdul-Kabir, Joyce Hanson
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): James N. D'Orso, Thomas D. Reese, Fern M. Laethem
Hearing Site: San Francisco, CA
| | Expungement |
| 11-01540 | 12/02/2011 | Claimant(s): Commonwealth Equity Services.
Claimant Lawyers(s): Joe Tully
Respondent(s): John Kai
Respondent Lawyers(s): John Kaleihiehie Kai
Arbitrator(s): Thomas D. Reese
Hearing Site: Honolulu, HI
| | |
| 10-03000 | 02/17/2011 | Claimant(s): Edith Robertson, Glen Robertson, John Sorensen, Sheri Lewis-Sorensen, Susan Robertson
Claimant Lawyers(s): Matthew K. Edling
Respondent(s): Securities America.
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): John J. Flynn, Thomas D. Reese, Mary H. Evans
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504 |
| 10-03654 | 01/31/2011 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): Joel Archer
Respondent Lawyers(s): Joel Earl Archer
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 10-00773 | 01/18/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Kenneth Shaffer
Respondent Lawyers(s): Kenneth C. Shaffer
Arbitrator(s): Marlyn G. McClaskey, Laurel Littman Gothelf, Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 10-03894 | 01/03/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Gilbert Pugliano
Respondent Lawyers(s): Gilbert Birdinground Pugliano
Arbitrator(s): Thomas D. Reese
Hearing Site: Portland, OR
| | |
| 09-06393 | 10/13/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Wade Cook
Respondent Lawyers(s): Wade Patrick Cook
Arbitrator(s): Thomas D. Reese
Hearing Site: Los Angeles, CA
| | |
| 09-02467 | 08/16/2010 | Claimant(s): Darru K. Hsu, Hsu Living trust U/A 05/05/03 Darru Hsu
Claimant Lawyers(s): Darru K. Hsu
Respondent(s): UBS Financial Services Inc., Mildred Peltzman, Neil Gavande
Respondent Lawyers(s): Kathleen Adams, Lawrence Brennan
Arbitrator(s): Douglas E. DeTata, Thomas D. Reese, Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | $0 |
