| 12-02325 | 08/25/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jonathan C. Thau
Arbitrator(s): Gary A. Hooker, James D. Murray, Robert Mallin Hirsch
Hearing Site: San Francisco, CA
| | |
| 10-03886 | 02/02/2012 | Claimant(s): P. Anne Giannini
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): David McClurg, Joseph Niederkorn, Raymond Lent, Tracy McClurg, McClurg Capital Corporation, The McClurg Family Trust
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Thomas J. LoSavio, Michelle Judy Brant, James D. Murray
Hearing Site: San Francisco, CA
|  | $23,000 |
| 10-02339 | 11/15/2011 | Claimant(s): Madhok Family Trust
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): James D. Murray, Michael Lancaster Garcia, Ronald J. Vernali
Hearing Site: San Francisco, CA
| | $0 |
| 10-02336 | 05/06/2011 | Claimant(s): Roland Lee
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Patrick Burke, Capwest Securities.
Respondent Lawyers(s): H Thomas Fehn, Patrick Joseph Burke
Arbitrator(s): John J. Flynn, James D. Murray, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $600 |
| 09-02587 | 04/15/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Michael Angel
Respondent Lawyers(s): Michael Angel
Arbitrator(s): Thomas W. Borden, Paul D. Allen, James D. Murray
Hearing Site: San Francisco, CA
| | |
| 09-05961 | 03/31/2011 | Claimant(s): MBO Insurance Brokers. PSP
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anne M. Moriarty
Arbitrator(s): James D. Murray, Jonathan H. Krotinger, Michael Craig Butterworth
Hearing Site: San Francisco, CA
| | Expungement |
| 09-05896 | 12/29/2010 | Claimant(s): Peter Williams
Claimant Lawyers(s): Cyrus Tabari
Respondent(s): Bruce Tenenbaum, Goldman, Sachs and Company, Gregory Downing, Magdalena Schmitz
Respondent Lawyers(s): Joseph E. Floren, Kim Alexander Kane
Arbitrator(s): Herbert Liberman, James D. Murray, Joseph Berzok
Hearing Site: San Francisco, CA
| | $47,796 |
| 08-01757 | 02/25/2010 | Claimant(s): Paul Norman
Claimant Lawyers(s): Brian G. Isaacson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): James D. Murray, Paul D. Gutierrez, David D. Stein
Hearing Site: San Francisco, CA
| | $0 |
