| 10-04294 | 04/12/2012 | Claimant(s): Salvatore Lima, Lima Family Trust
Claimant Lawyers(s): Irwin Stein
Respondent(s): James Walsh, MCL Financial Group.
Respondent Lawyers(s): Lawrence Singleton, Robert J. Girard
Arbitrator(s): Nicholas J. Caputo, Harry B. Endsley, James N. D'Orso
Hearing Site: San Francisco, CA
|  | Expungement |
| 09-00562 | 07/12/2011 | Claimant(s): Stan Schuldiner
Claimant Lawyers(s): Stan Schuldiner
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): James J. Dougherty
Arbitrator(s): Harry B. Endsley, James S. Martin, Walter F. Dillaway
Hearing Site: San Francisco, CA
| | $0 |
| 07-03390 | 10/01/2010 | Claimant(s): Sharon Larocque, IRA
Claimant Lawyers(s): Sharon Larocque
Respondent(s): Travis Branch, Brookstreet Securities Corporation
Respondent Lawyers(s): H Thomas Fehn, Travis A. Branch
Arbitrator(s): Harry B. Endsley, Gary A. Hooker, Carol M. Egan
Hearing Site: Honolulu, HI
| | $0 |
| 08-01412 | 08/18/2010 | Claimant(s): Gerard Chang
Claimant Lawyers(s): Gerard Chang
Respondent(s): Deborah Tharp, Citigroup Global Markets., Paul Katerndahl, Citigroup Smith Barney.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Ferdinand Schoch, Harry B. Endsley, Juleanne A. Thiebaut
Hearing Site: San Francisco, CA
| | $0 |
| 08-02255 | 07/21/2009 | Claimant(s): Hung Hoang
Claimant Lawyers(s): James T. Kim
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Harry B. Endsley, E. Duane Stephens, Hadden Wing Roth
Hearing Site: San Francisco, CA
| | $0 |
| 07-03609 | 02/13/2009 | Claimant(s): Thomas Bowen
Claimant Lawyers(s): Kenneth J. McKenna
Respondent(s): Edward Jones
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Mary Curran, Harry B. Endsley, Thomas D. Reese
Hearing Site: Reno, NV
| | $0 |
| 07-02897 | 05/23/2008 | Claimant(s): Wachovia Securities, A.G. Edwards & Sons.
Claimant Lawyers(s): Katherine B. Harrison
Respondent(s): Cathy McJilton, Stifel, Nicolaus & Co.., Denise Gilseth, Kelly Stomgren, Samuel Slayden
Respondent Lawyers(s): James A. Hughes, Kenneth C. Mennemeier
Arbitrator(s): Harry B. Endsley, Ralph A. Cotton, E. Duane Stephens
Hearing Site: San Francisco, CA
| | |
| 07-01145 | 03/10/2008 | Claimant(s): David Castillo
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Harry B. Endsley, James Conrad Riewerts, Susan J. Alexander
Hearing Site: San Francisco, CA
| | |
| 07-00197 | 10/01/2007 | Claimant(s): Anthony and Doris Campagna Irrev. Trus
Claimant Lawyers(s): Connie Janich Hamrah
Respondent(s): Douglas Hedley, Ross Galloway, UBS Financial Services Incorporated
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Ferdinand Schoch, Harry B. Endsley, Juleanne A. Thiebaut
Hearing Site: San Francisco, CA
| | $0 |
