| 19-00816 | 03/15/2021 | Claimant(s): Reuben J Donig Atny At Law Sal Def Plan
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Jon H. Sylvester, Gary Kostow, Carol Marshall
Hearing Site: San Francisco, CA
|  | $0 |
| 18-04007 | 11/07/2019 | Claimant(s): Waltraud Greathouse
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Kenneth Barroga, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $160,097 |
| 16-01787 | 04/17/2017 | Claimant(s): Linda Tedrahn
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Gregory Kinkead, Joseph Papez, Centaurus Financial.
Respondent Lawyers(s): David Markun, Paul King
Arbitrator(s): Robert A. Lombardi
Hearing Site: Las Vegas, NV
| | $0 |
| 11-01424 | 07/12/2013 | Claimant(s): Mary Anne Barreiro
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Anthony Vlahiotis, George Carathimas, Ameritas Investment Corp.
Respondent Lawyers(s): David Wakukawa, Louis H. Castoria, Richard Sacks
Arbitrator(s): Richard L. Rubin, Nick G. Tarlson, George King
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01383 | 05/17/2013 | Claimant(s): Harvest & Rowe. Retirement Plan
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Allison Rowe, Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela, Brett A. Alcala
Arbitrator(s): Nick G. Tarlson
Hearing Site: San Francisco, CA
| | $17,384 |
| 11-03992 | 04/25/2013 | Claimant(s): Roberta Jessop, Raymond Eugene & Roberta Jessop Rev Trst
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Sheldon Schumaker, Pruneyard Financial Group., Western International Securities.
Respondent Lawyers(s): Andrew D. Castricone, Daniel S. Kubasak
Arbitrator(s): Carl B. Noelke, Pamela S. Mann, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | Expungement |
| 11-01249 | 05/01/2012 | Claimant(s): William Garvey
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Mark Powell, Lighthouse Capital Corporation
Respondent Lawyers(s): Jonathan Schwartz, Robert John Zamecki
Arbitrator(s): William Ziering, Mary Margaret Bush, Stewart H. Foreman
Hearing Site: San Francisco, CA
| | $100,000 |
| 09-04136 | 09/14/2010 | Claimant(s): Maimoona Mirdad
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Donald S. Green
Hearing Site: San Francisco, CA
| | $49,000 |
| 08-02800 | 08/16/2010 | Claimant(s): Lee Ng, Lim Low
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Fengjui Hsu, John Hsu, Pyramid Financial Corp.
Respondent Lawyers(s): Eric J. Sidebotham, Fengjui Sun Hsu
Arbitrator(s): James S. Martin, Jeffrey M. Allen, Homer L. Davis
Hearing Site: San Francisco, CA
| | $338,610 |
