| 22-00805 | 01/23/2023 | Claimant(s): Steven Rose
Claimant Lawyers(s): Jeffrey Thomas
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Laurel Littman Gothelf, Bradley C. Mitchell, Clifford A. Threlkeld
Hearing Site: Reno, NV
| | |
| 19-02863 | 10/23/2020 | Claimant(s): Gerard Camerino
Claimant Lawyers(s): Wilmer D. Masterson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Eric M. Steinert
Arbitrator(s): Bradley C. Mitchell, Clifford A. Threlkeld, Kenneth Paul Strongman
Hearing Site: San Francisco, CA
| | |
| 17-01547 | 05/24/2018 | Claimant(s): Peter Lawrence, The Norma S. Pappas Trust U/A 7/12/1993
Claimant Lawyers(s): Jeremy Scott Hyndman
Respondent(s): Bao Vu, TD Ameritrade., Steve Kim
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): Helen Marinak Blohm, Dean J. Dietrich, Bradley C. Mitchell
Hearing Site: San Francisco, CA
|  | $0 |
| 16-02604 | 05/09/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Mauricio Beugelmans
Respondent(s): Rachael Konz
Respondent Lawyers(s): Rachael Leigh Konz
Arbitrator(s): William J. Petzel, Bradley C. Mitchell, Paul Mabry
Hearing Site: San Francisco, CA
| | |
| 15-01635 | 01/19/2017 | Claimant(s): Alan Barrett, Margaret Barrett
Claimant Lawyers(s): Robert B. Ingram
Respondent(s): LPL Financial LLC, Ernest Renner, Steven Lambert
Respondent Lawyers(s): Amir Tadjedin, Ryan Probstfeld, Thomas Franklin Barnett
Arbitrator(s): Thomas D. Reese, Jonathan H. Krotinger, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | $0 |
| 11-04623 | 08/07/2014 | Claimant(s): Justin Miller
Claimant Lawyers(s): Marie Mirch
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Ralph A. Cotton, Bradley C. Mitchell, Carol Ann Jensen
Hearing Site: San Francisco, CA
| | |
| 10-04235 | 11/14/2011 | Claimant(s): Catherine Pinkas
Claimant Lawyers(s): John Fu
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Frank R Weaver, Dean J. Dietrich, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | |
| 10-00241 | 10/18/2011 | Claimant(s): Martin Padilla, Ronald Rzesniowiecki, Sherlock Revocable Living Trust
Claimant Lawyers(s): Brian Levin
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Walter P. Hitchcock, Linda M. McCoy, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | Expungement |
| 08-04701 | 09/23/2009 | Claimant(s): Paul Edwards
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Charles Schwab & Co.., Randall Merk, Rupesh Shah
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Ralph A. Cotton, Terry M Lloyd, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | $25,000 |
| 08-01036 | 05/08/2009 | Claimant(s): Bonnie Burdett & Joyce Anthony TTees of
Claimant Lawyers(s): George S. Trevor
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Helen Marinak Blohm, Bradley C. Mitchell, Fred D. Butler
Hearing Site: San Francisco, CA
| | $0 |
