16-03708 | 12/13/2018 | Claimant(s): Lionel Shaw Claimant Lawyers(s): Garet D. O'Keefe Respondent(s): Summit Brokerage Services. Respondent Lawyers(s): Michael Schwartzberg Arbitrator(s): Michelle Judy Brant, Alden Sharp Adkins, Roland Neil Burgess Hearing Site: San Francisco, CA
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09-03573 | 11/18/2014 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Ronald P. Kane Respondent(s): Derek Delsimone, Robert Burpee Respondent Lawyers(s): Jacqueline deSouza Arbitrator(s): Michelle Judy Brant, Amy Seltzer, E. Duane Stephens Hearing Site: San Francisco, CA
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12-02885 | 08/22/2014 | Claimant(s): Richard Hingley, Richard A. Hingley IRA, Richard A. Hingley 1989 Trust Claimant Lawyers(s): Ronald E. Miller Respondent(s): Eric Kuchel, Crown Capital Securities, L.P. Respondent Lawyers(s): Craig R. Bockman, Shanna Javaheri Arbitrator(s): Michelle Judy Brant, Peter H. Daly, Michael Lancaster Garcia Hearing Site: San Francisco, CA
| | $277,468 |
11-02159 | 10/10/2013 | Claimant(s): Tom Garcia Claimant Lawyers(s): Daniel B. Lipson Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Joshua D. Jones Arbitrator(s): Michelle Judy Brant Hearing Site: San Francisco, CA
| | 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 |
09-03871 | 02/04/2013 | Claimant(s): Xiaohua Qu Claimant Lawyers(s): Michael J. Maloney Respondent(s): Deutsche Bank Securities., William Svoboda Respondent Lawyers(s): George D. Sullivan Arbitrator(s): Michelle Judy Brant, Richard B. Bullock Hearing Site: San Francisco, CA
| | Expungement |
11-00885 | 07/10/2012 | Claimant(s): Alfred Richardson, Alfred W. Richardson IRA Claimant Lawyers(s): Jeffrey A. Feldman Respondent(s): Mark Sumsion, Scott Garbutt, Stonehurst Securities. Respondent Lawyers(s): Phillip Borup, Wm. Kelly Nash Arbitrator(s): Michelle Judy Brant, William W. Haskell, Arocles Aguilar Hearing Site: San Francisco, CA
| | Expungement |
09-06280 | 03/19/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Julianne L. Peck Respondent(s): Jolie Bales Respondent Lawyers(s): Mark J. Astarita Arbitrator(s): Michelle Judy Brant, William A. Husa, Michael J. Fish Hearing Site: San Francisco, CA
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10-03886 | 02/02/2012 | Claimant(s): P. Anne Giannini Claimant Lawyers(s): Timothy A. Canning Respondent(s): David McClurg, Joseph Niederkorn, Raymond Lent, Tracy McClurg, McClurg Capital Corporation, The McClurg Family Trust Respondent Lawyers(s): Edward S. Zusman Arbitrator(s): Thomas J. LoSavio, Michelle Judy Brant, James D. Murray Hearing Site: San Francisco, CA
| | $23,000 |
09-01578 | 01/15/2010 | Claimant(s): Steven L. Linsey Trust Claimant Lawyers(s): Steven L. Linsey Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John Bersin Arbitrator(s): Michelle Judy Brant Hearing Site: San Francisco, CA
| | $47,272 |