| 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 |
| 09-07097 | 08/10/2010 | Claimant(s): Debbie Gardner, Erica M. Gardner
Claimant Lawyers(s): Debbie K. Hancock
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Herbert Liberman
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
