18-00662 | 10/25/2018 | Claimant(s): Josephine White Claimant Lawyers(s): Michael Bessette Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Herb Schwartz Hearing Site: San Francisco, CA
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14-03316 | 08/08/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Bryan H. Heckenlively Respondent(s): Harvey Klyce Respondent Lawyers(s): Michael A. Valenti Arbitrator(s): Herb Schwartz, Timothy P. Bogan, Shawn Ridgell Hearing Site: San Francisco, CA
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15-02314 | 07/28/2017 | Claimant(s): Taylor Reed Claimant Lawyers(s): Donald C. Potter Respondent(s): Wedbush Securities Inc. Respondent Lawyers(s): Matthew Klafter Arbitrator(s): Herb Schwartz, Ralph A. Cotton, Arocles Aguilar Hearing Site: San Francisco, CA
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14-03136 | 05/09/2017 | Claimant(s): Bruce Bunnell, Michele DiGregorio, Sean Bunnell Claimant Lawyers(s): Adam B. Wolf, Jason J. Kane Respondent(s): Dalton Strategic Investment Services Inc Respondent Lawyers(s): Robert M. Bursky Arbitrator(s): Herb Schwartz, Howard M. Hoffman, Kenneth Paul Strongman Hearing Site: San Francisco, CA
| | $306,223 |
15-00748 | 08/02/2016 | Claimant(s): Charles Mugrauer Claimant Lawyers(s): Sheila Hollander Respondent(s): Ameriprise Financial Services., Randall Samson, Scott Esco Respondent Lawyers(s): Chad Weaver, Elizabeth Poletti, Timothy N. Will Arbitrator(s): Herb Schwartz, Robert Sachs Mandelson, Shirish Gupta Hearing Site: San Francisco, CA
| | Expungement |
14-03414 | 02/25/2016 | Claimant(s): Stephen Slocum Claimant Lawyers(s): Stephen J. Slocum Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): Herb Schwartz, Dean J. Dietrich, Gary S. DeWeese Hearing Site: San Francisco, CA
| | $0 |
14-02344 | 10/14/2015 | Claimant(s): Anthony J. Gimelli Revocable Trust Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Susan E. Sheely Arbitrator(s): Herb Schwartz Hearing Site: San Francisco, CA
| | Expungement |
14-02768 | 10/05/2015 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Timothy N. Will Respondent(s): Besart Morina Respondent Lawyers(s): Jay T. Jambeck Arbitrator(s): Herb Schwartz Hearing Site: San Francisco, CA
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13-03716 | 06/16/2015 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Mitchell J. Albert Respondent(s): Andrew Spivey Respondent Lawyers(s): Andrew G. Spivey Arbitrator(s): Herb Schwartz, Gary A. Hooker, Susan J. Alexander Hearing Site: San Francisco, CA
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11-01803 | 01/07/2015 | Claimant(s): Morgan Stanley Claimant Lawyers(s): Timothy N. Will Respondent(s): Leslie Wolfson Respondent Lawyers(s): David Sternberg Arbitrator(s): Herb Schwartz, Gary S. DeWeese, Edward J. Harkins Hearing Site: San Francisco, CA
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