| 17-01901 | 04/18/2018 | Claimant(s): Michael Tomren
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Montauk Securities Corp., QA3 Financial Corp.
Respondent Lawyers(s): Robert I. Rabinowitz, Stephen K. Wild
Arbitrator(s): Joseph M. O'Connor
Hearing Site: San Francisco, CA
| | |
| 12-00363 | 05/01/2014 | Claimant(s): Albertus Niehuis, Andrea Niehuis, ARI - OP 18, TIC SHS Pittsburgh 2, TIC TPS Portland 3
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Walter J. Huntley, Joseph M. O'Connor, Adrian Alec Colley
Hearing Site: San Francisco, CA
|  | $1,165,880 |
| 08-04621 | 12/06/2013 | Claimant(s): Joseph Seidler
Claimant Lawyers(s): Patrick Gillette
Respondent(s): Wachovia Securities, Kevin Kitchin
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Elmo E. Wedderburn, Joseph M. O'Connor, Carol Ann Jensen
Hearing Site: San Francisco, CA
| | |
| 12-00938 | 08/09/2013 | Claimant(s): Joyashree Guha, Mita Guha, Neela Guha, Tridib Guha
Claimant Lawyers(s): Tridib Guha
Respondent(s): David Taylor, Lucile Weed, Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Joseph M. O'Connor, Philip Aaron Tymon, Sean B. Meehan
Hearing Site: San Francisco, CA
| | Expungement |
| 10-04112 | 09/28/2012 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Charles Strickler
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Charles E. Farnsworth, Joseph M. O'Connor, Daniel Martell
Hearing Site: San Francisco, CA
| | |
| 10-04271 | 06/15/2012 | Claimant(s): Ricardo Rangel
Claimant Lawyers(s): Marie Mirch
Respondent(s): Chase Investment Services Corp., John Quinn, Pamela Taylor, Robert Garrett, Russell Fletcher, Scott Mccullah
Respondent Lawyers(s): Jeffrey A. Wortman
Arbitrator(s): Joseph M. O'Connor, Carol Ann Jensen, William Kenneth Wesley
Hearing Site: San Francisco, CA
| | |
| 09-06924 | 12/15/2011 | Claimant(s): Marie Mirch
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): Morgan Stanley
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): Joseph C. Roberts, Joseph M. O'Connor, Gregory Jay Gursey
Hearing Site: Reno, NV
| | Expungement |
| 07-02333 | 02/11/2010 | Claimant(s): Aaron Leone
Claimant Lawyers(s): Jesper I. Rasmussen
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Douglas A. Wickham
Arbitrator(s): Daniel M. Yamshon, William A. Husa, Joseph M. O'Connor
Hearing Site: San Francisco, CA
| | |
| 08-04749 | 07/23/2009 | Claimant(s): Cheryl Jordan
Claimant Lawyers(s): Cheryl Jordan
Respondent(s): Morgan Stanley & Co., Stephen La Cour
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): Joseph M. O'Connor
Hearing Site: San Francisco, CA
| | $8,213 |
| 03-02903 | 10/21/2008 | Claimant(s): Charles Raulerson
Claimant Lawyers(s): Patrick Baldwin
Respondent(s): Barbara Ralston, Charles Lazzaro, John Openshaw, First Wall Street Corp.
Respondent Lawyers(s): Christopher Mader, Jeffrey S. Kob
Arbitrator(s): Walter F. Dillaway, Mary Margaret Bush, Joseph M. O'Connor
Hearing Site: San Francisco, CA
| | Expungement |
