| 11-02217 | 07/23/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Eric DeMarcus, William Yates
Respondent Lawyers(s): Eric DeMarcus, William P. Wallenstein
Arbitrator(s): Edwin C. Shiver, Gerald Joseph Wilfley, Martin Joel Fassler
Hearing Site: San Francisco, CA
| | |
| 12-02563 | 03/18/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Lisa Seran
Respondent Lawyers(s): Scott Greenwood-Meinert
Arbitrator(s): Edwin C. Shiver
Hearing Site: San Francisco, CA
| | |
| 11-02568 | 08/28/2012 | Claimant(s): Herman Shine, Marianne Shine
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Wells Fargo Investments, Patrick Briggs, Ray Seewer, Stephen Seewer
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): James N. D'Orso, Edwin C. Shiver, Herbert L. Brown
Hearing Site: San Francisco, CA
|  | Expungement |
| 08-04257 | 12/27/2010 | Claimant(s): Lawrence Orlick, Orlick-Donovan Family Trust
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Edwin C. Shiver
Hearing Site: San Francisco, CA
| | Expungement |
| 09-05245 | 03/15/2010 | Claimant(s): Tissapeh Hami
Claimant Lawyers(s): Tissapeh Hami
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Edwin C. Shiver
Hearing Site: San Francisco, CA
| | $9,781 |
| 09-00173 | 05/28/2009 | Claimant(s): Fred Yoshida Trustee of the Yoshida Trus
Claimant Lawyers(s): Fred Yoshida
Respondent(s): Dustin Buck, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Edwin C. Shiver
Hearing Site: San Francisco, CA
| | $0 |
| 08-02986 | 02/19/2009 | Claimant(s): OptionsHouse.
Claimant Lawyers(s): Lesley G. Smith
Respondent(s): Gregory Colley
Respondent Lawyers(s): Gregory Colley
Arbitrator(s): Edwin C. Shiver
Hearing Site: San Francisco, CA
| | $0 |
| 07-02969 | 10/31/2008 | Claimant(s): Salovich Family Trust
Claimant Lawyers(s): George V. Salovich
Respondent(s): Derek Uehara, Johanna Martin, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Edwin C. Shiver
Hearing Site: Las Vegas, NV
| | $0 |
