| 13-02963 | 09/24/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Benjamin W. White
Respondent(s): Seng Heuansavath
Respondent Lawyers(s): Seng Nuna Heuansavath
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | |
| 13-02817 | 05/07/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Note Hold
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Joseph Sanchis
Respondent Lawyers(s): Joseph J. Sanchis
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | |
| 12-04225 | 04/23/2014 | Claimant(s): Armando Palomino
Claimant Lawyers(s): Amiel L. Wade
Respondent(s): Wells Fargo Advisors, Mark Nance, Rebecca Emanuel, Wells Fargo Bank
Respondent Lawyers(s): Eric M. Steinert
Arbitrator(s): Herb Schwartz, Juleanne A. Thiebaut, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | |
| 12-00910 | 11/25/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): James Lewis
Respondent Lawyers(s): Peter A. Cantwell
Arbitrator(s): Herb Schwartz, Mary Margaret Bush, Douglas J. Pavese
Hearing Site: Reno, NV
| | |
| 11-03828 | 03/25/2013 | Claimant(s): K & M Dattani Irrevocable Trust
Claimant Lawyers(s): Andrew H. Wilson
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Herb Schwartz, Ralph A. Cotton, Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
|  | Expungement |
| 10-05726 | 12/31/2012 | Claimant(s): Clara Hickle
Claimant Lawyers(s): Tanya S. Sacks
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin Fitzgerald
Arbitrator(s): Herb Schwartz, Terry M Lloyd, Joseph Berzok
Hearing Site: San Francisco, CA
| | $0 |
| 10-02880 | 09/25/2012 | Claimant(s): Karl Townsend & Karen F. Townsend Trust
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Walter P. Hitchcock, Herb Schwartz, William A. Husa
Hearing Site: San Francisco, CA
| | Expungement |
| 07-03517 | 04/25/2012 | Claimant(s): Anna Vertkin
Claimant Lawyers(s): Mathew Martenyi
Respondent(s): E*Trade Securities LLC, Michael Vertkin
Respondent Lawyers(s): Meredith A. Felde, Michael Vertkin
Arbitrator(s): Herb Schwartz, James R. Dickson, Nick G. Tarlson
Hearing Site: San Francisco, CA
| | $0 |
| 08-02259 | 02/08/2012 | Claimant(s): Olga Basil, Pooroushasb Parineh, John Davoudi and Maro Davoudi, Majid Harirchi and Katayoun R. Harirchi, Mike Mashayekh and Jackie Mashayekh, Grace Purpura-Andriola TTEE FBO
Claimant Lawyers(s): Richard M. Kelly
Respondent(s): Farhang Oshidary, Grace Purpura-Andriola, Pari Jamshidi
Respondent Lawyers(s): Christopher Mader, Richard M. Kelly
Arbitrator(s): Herb Schwartz, Walter J. Huntley, Mary Kay Higgins Crockett
Hearing Site: San Francisco, CA
| | $370,000 |
| 09-06004 | 01/25/2012 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Joseph Papez
Respondent Lawyers(s): Howard J. Rosenburg
Arbitrator(s): Herb Schwartz
Hearing Site: Las Vegas, NV
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