15-01650 | 02/19/2016 | Claimant(s): Brian Alger Claimant Lawyers(s): Brian M. Alger Respondent(s): Wedbush Securities Inc., Edward Wedbush, Eric Wedbush, Gary Wedbush, Shawn Keagy, Stephen Massocca Respondent Lawyers(s): John W. Stenson Arbitrator(s): Herbert Liberman Hearing Site: San Francisco, CA
| | |
13-02210 | 02/05/2014 | Claimant(s): Joseph A. Miller III Trust f/b/o Joseph Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Carlos Enrique Provencio Arbitrator(s): Herbert Liberman Hearing Site: Jackson, MS
| | $47,700 |
12-01784 | 10/14/2013 | Claimant(s): William and Ellen Byrns Trust dd 2/25/92 Claimant Lawyers(s): William C. Byrns Respondent(s): Barbara Allen Kelsay, Wells Fargo Advisors, Sean Fansler Respondent Lawyers(s): Barbara Allen-Kelsay, Judy Louie Arbitrator(s): Herbert Liberman Hearing Site: Honolulu, HI
| | Expungement |
12-02699 | 01/14/2013 | Claimant(s): Douglas Bott Claimant Lawyers(s): Anna M. Rossi Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Dan A. Rosenbaum Arbitrator(s): Herbert Liberman Hearing Site: San Francisco, CA
| | |
10-03941 | 10/08/2012 | Claimant(s): Gerhard Rohloff, Gerhard Rohloff Living Trust dd 7/11/05 Claimant Lawyers(s): Christopher P. Mader Respondent(s): Jeffrey Arburn, Impact Financial Management, Whitehall-Parker Securities. Respondent Lawyers(s): Abe Lampart Arbitrator(s): Herbert Liberman, Edwin C. Shiver, Mark Aaron Jones Hearing Site: San Francisco, CA
| | Expungement |
11-01906 | 07/20/2012 | Claimant(s): Mary-Louise Shaheen Claimant Lawyers(s): Mary-Louise Shaheen Respondent(s): Morgan Stanley, Paul Witte Respondent Lawyers(s): Kenneth J. Haim, Raul Sanchez Arbitrator(s): Carlos Richard Mangum, Herbert Liberman, Dean J. Dietrich Hearing Site: San Francisco, CA
| | $0 |
11-04380 | 07/13/2012 | Claimant(s): Woodbury Financial Services. Claimant Lawyers(s): Elyse W. Grant Respondent(s): Anissa Cooke Respondent Lawyers(s): Anissa Lynette Cooke Arbitrator(s): Herbert Liberman Hearing Site: San Francisco, CA
| | |
11-00494 | 05/29/2012 | Claimant(s): Barnard Lewis Family Trust Claimant Lawyers(s): Edward H. Glenn Respondent(s): Chase Investment Services Corp., WAMU Investments. Respondent Lawyers(s): Erika Imre Schindler, Joseph S. Simms Arbitrator(s): Herbert Liberman, Amy Seltzer, Paul D. Gutierrez Hearing Site: San Francisco, CA
| | Expungement |
08-03389 | 03/27/2012 | Claimant(s): GameTech International. Claimant Lawyers(s): Robert B. Bieck Respondent(s): Lars Jacobson, Roland Hansalik Respondent Lawyers(s): Philip E. Cook, Philip Cook Arbitrator(s): Herbert Liberman, Robert G. Miller, David R. Finch Hearing Site: Reno, NV
| | 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 |