| 08-03782 | 05/10/2013 | Claimant(s): Alyce Johnson, Andrew Balistreri, Anita Robertson, Ann Solomon, Ardeth Ullman, Barbara Grant, Beulah Flood, Carmen Yaskewich, Carol Brochini, Cary Tremewan, Catherine Hanoum, Darlene Harris, David Hinkel, Diane Kinzli, Donald King, Doreen Elkins, Dorothy Jones, Duncan Grant, Ernest Kinzli, Frank Thomas, et al
Claimant Lawyers(s): Patrick Baldwin
Respondent(s): Ruthe Gomez, Financial Networks Group, NDX Trading., Traderight Securities.
Respondent Lawyers(s): Christopher Nelson, Michael J. Rukujzo, Patrick Baldwin
Arbitrator(s): James N. D'Orso, M. Scott Donahey, Rahul K. Surana
Hearing Site: San Francisco, CA
|  | $4,277,740 |
| 09-05843 | 05/02/2013 | Claimant(s): Beatrice Pigno, Carolyn Andre, Chia Liu, Chu Mein, Clifton Dufour, Cody Milton, David Stelly, Dolores Perry, Eric Pace, George Quartano, Gerald Perry, Jean Tsai, John Murphy, John Templet, Jung Lo, Lisa Dufour, Lola Stelly, Loleta Soloman, Marc Stelly, Pat Milton, et al
Claimant Lawyers(s): Lance C. McCardle, W. Andrew Clayton
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Clayton J. Borne, Brian P. Jakes, Richard J. Clement
Hearing Site: New Orleans, LA
| | Expungement |
| 10-05466 | 04/05/2013 | Claimant(s): Alice Soto, Betty Lee, Blair Brooksby, Curtis Alling, Curtis Sylvester-Jose, Curtis Webb, Darryl Morrison, David Campell, David Moy, Deborah Keyston, Evelyn Delcid, Francesca Brown, George Keyston, James Chew, James Weidinger, Jean Chew, Jeannette Chan, Jerry Rubelt, Kin Leong, Kirk Theis, et al
Claimant Lawyers(s): Matthew K. Edling
Respondent(s): Pacific West Financial Group, Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges, Dennis J. Kelly
Arbitrator(s): Marlyn G. McClaskey, Charles E. Farnsworth, Roberta R. Jeffrey
Hearing Site: San Francisco, CA
| | $5,709,720 |
| 11-04331 | 03/07/2013 | Claimant(s): Dale Stamer, Dan Schroeder, Darla Severding, David Steinke, Dennis Tucker, Dianna Sheets, Don Severding, Donna Medinger, Grant Christianson, Jerry Hartnell, Julie Schroeder, Kirk Sims, Lori Baylor, Michael Stamer, Neil Case, Pat Tucker, Patricia O'Callaghan, Randy Kingery, Richard Beltz, Rita Beltz, et al
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Thomas Berthel, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Leo G. Stern, Thomas L. Dueber, Grant D. Sanders
Hearing Site: Des Moines, IA
| | $0 |
| 12-01305 | 02/07/2013 | Claimant(s): Brett Wilson, Brian Smoot, Clifford Cashman, Darrin Santos, David Gatlin, Dean Evans, Ernest Hathaway, Gary Barker, Greg Coenen, Howard Jeppson, John Plaza, Kevin Korhorn, Lisa Dickholtz, Marty Mitchell, Michael Clark, Michele Young, Robert Greenamyer, Scotty Schoettlin, Stephen Fortner, Steven Fenyves, et al
Claimant Lawyers(s): Bryan M. Ward
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Frank D. Connett
Hearing Site: Omaha, NE
| | |
| 09-06706 | 04/05/2012 | Claimant(s): Monica Boniadi, Robert Boniadi
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): David Vaughan, Debra Hansen, Donald Froude, Doreen Griffith, Gayle Parsons, Gregg Johnson, Ameriprise Financial Services., James Heeney, James Nagengast, Securities America., Kevin Miller, Kirk Hulett, Lamar Jones, Leon Johnson, Pamela Wertheim, Paul Huerter, Paul Lofties, Steven Mcwhorter, Terrance Dewald, Theresa James, et al
Respondent Lawyers(s): Bruce M. Bettigole, Bryan M. Ward, Burton W. Wiand, Gregory S. Kaufman
Arbitrator(s): Lester G. Stiel, Thomas J. Doherty, Mary Elizabeth Geerdes
Hearing Site: San Diego, CA
| | Expungement |
| 10-05129 | 02/03/2012 | Claimant(s): Steven Firestone, Steven N. Firestone UTA Charles Schwab &, Steven N. Firestone, MD Charles Schwab &
Claimant Lawyers(s): Steven N. Firestone
Respondent(s): Alfonso Portillo, Bari Havlik, Carrie Dwyer, Catherine Macgregor, Cathy Sabo, Charles Schwab, Evelyn Dilsaver, George Pereira, Jan Hier-King, Jeffrey Mortimer, Joseph Martinetto, Kenneth Salinger, Kimon Peter Daifotis, Koji Felton, Charles Schwab & Co.., Matthew Hastings, Michael Haydel, Randall Fillmore, Randall Merk, Ronald Carter, et al
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Benjamin F. Breslauer, Robert Dean McKinley, John R Sustersic
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-06962 | 01/13/2012 | Claimant(s): Bruce Norman, David Robertson, Donald Reutlinger, Glenn Spaur, Hardy Hodges, Henry Burns, James DeMartini, Janell Reutlinger, Jarod Kuntz, John Beaupre, Kenneth Hofmeister, Kimber Heineman, Lawrence Berg, Leslie Schifferns, Lou Burns, Mary Hofmeister, Merle Allen, Pamela Kuntz, Richard Faulkner, Ruth DeMartini, et al
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Capwest Securities.
Respondent Lawyers(s): Tom Fehn
Arbitrator(s): Thaddeus J. Tecza, Martin M. Berliner, John Fleming Kelly
Hearing Site: Denver, CO
| | $9,120,500 |
| 09-04497 | 03/02/2011 | Claimant(s): Ann Whatley, Bryan Matz, David Yurko, Dawn Funari, Elizabeth Daugherty, Elizabeth Evans, Frank Carter, Helen Reynolds, John Evans, Kathleen Lowe, Katrina Yurko, Kevin Phillips, Kevin Riley, Marcus Funari, Marissa Yurko, Melvin Drukman, Michael Reynolds, Patricia Carter, R. Janet Ridlen, Rita McGinley, et al
Claimant Lawyers(s): John Chapman
Respondent(s): Stephen Wild, Proequities.
Respondent Lawyers(s): Melinda L. Peevy, William G Leonard
Arbitrator(s): Robert A. Dean, Dimitri Angelo Dodys, Alan C. Granath
Hearing Site: Atlanta, GA
| | $187,600 |
| 09-06416 | 09/17/2010 | Claimant(s): Norman Malo
Claimant Lawyers(s): Brian J. Ellis
Respondent(s): Adele D'Lando, Benita Axel, Bessie Selz, Bruce Brauner, Carol Raben, Daniel Balko, Denise Marino, Edward Asch, Ethel Zebitz, Gary Weisman, Gerard Axel, Gloria Nadler, Helene Lipschutz, Herman Nadler, Holly Colangelo, Jacqueline Mishory, Joseph Messina, Joseph Nemeth, Joseph Schwartz, Judy Berlin, et al
Respondent Lawyers(s): Scott L. Silver
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | Expungement |
