| 21-01716 | 07/27/2022 | Claimant(s): Diane Jones
Claimant Lawyers(s): Scott Ira Batterman
Respondent(s): Christ Baltas, Worden Capital Management LLC, Gregory Bodkin, Jamie Worden
Respondent Lawyers(s): Charles M. O'Rourke, Christ Elias Baltas, Jamie John Worden
Arbitrator(s): Robert E. Thompson, Peter H. Daly, Kenneth W. Gosliner
Hearing Site: Honolulu, HI
|  | $80,000 |
| 12-03692 | 04/11/2016 | Claimant(s): Herbert Madan, Herbert S. Madan Revocable Trust UAD Apr
Claimant Lawyers(s): John D. Singer
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Jen Machlin
Arbitrator(s): John P. Wilson, Linda M. McCoy, Kenneth W. Gosliner
Hearing Site: San Francisco, CA
| | Expungement |
| 12-04224 | 05/07/2014 | Claimant(s): Richard Remington
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Omar Hassan, John Thomas Financial
Respondent Lawyers(s): David Hirschberg, Maria Cummings
Arbitrator(s): Michael Lancaster Garcia, Kenneth W. Gosliner, Norman S. Nayfach
Hearing Site: San Francisco, CA
| | $163,050 |
| 09-03467 | 05/06/2014 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Matthew Belden
Respondent Lawyers(s): Richard Sacks
Arbitrator(s): James N. D'Orso, Kenneth W. Gosliner, Robert Elman
Hearing Site: San Francisco, CA
| | |
| 11-04509 | 10/31/2013 | Claimant(s): Gale A. Pfund and Margery S. Pfund
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Richard B. Bullock, Kenneth W. Gosliner, Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | Expungement |
| 11-03868 | 08/28/2013 | Claimant(s): Timothy Donaldson
Claimant Lawyers(s): Timothy Donaldson
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Thomas C. McNally, Robert H. Cornell, Kenneth W. Gosliner
Hearing Site: Honolulu, HI
| | Expungement |
| 12-01975 | 07/23/2013 | Claimant(s): Alex Binai
Claimant Lawyers(s): D. Daxton White
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michelle Judy Brant, Sterling N. Frost, Kenneth W. Gosliner
Hearing Site: San Francisco, CA
| | Expungement |
| 10-03003 | 06/29/2012 | Claimant(s): Carol Marini
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): James Parker, Marcelle Long, Portfolio Advisors Alliance.
Respondent Lawyers(s): James Ronald Parker, Kerri Wasserman, Marcelle Long
Arbitrator(s): Richard B. Bullock, Kenneth W. Gosliner, John C McGourty
Hearing Site: San Francisco, CA
| | $254,700 |
| 11-01116 | 04/13/2012 | Claimant(s): Jason Schlesinger
Claimant Lawyers(s): Richard E. Levine
Respondent(s): Wells Fargo Advisors, Peter Hong, Wallace Key
Respondent Lawyers(s): Mitchell Albert
Arbitrator(s): Joseph H. Sturdivant, Kenneth W. Gosliner, John J. Shook
Hearing Site: San Francisco, CA
| | |
| 10-02818 | 06/27/2011 | Claimant(s): Jane Wiborg, Lloyd Wiborg, Jane S. Wiborg Trust dtd 7/28/86
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): John K. Swearingen, Kenneth W. Gosliner, James Edward Forbes
Hearing Site: San Francisco, CA
| | $376,658 |
