| 14-01044 | 08/04/2016 | Claimant(s): Kenneth Blumenfeld
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Jeffrey E. Skogsbergh, Susan B. Gans-Smith, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
| | |
| 13-03659 | 03/08/2016 | Claimant(s): Barbara Klotz, Richard Klotz
Claimant Lawyers(s): Anthony Reguero, M. Ryan DiMaria
Respondent(s): Gary Roney, Jack Hartfelder, Morgan Stanley
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): David J. Anderson, A. Joel Klein, Terry D. Anderson
Hearing Site: Los Angeles, CA
|  | Expungement |
| 12-00756 | 12/11/2014 | Claimant(s): Bernie Bernheim APC Retirement Trust
Claimant Lawyers(s): Nazo S. Semerdjian
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Edward J. Costello
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02006 | 08/12/2011 | Claimant(s): Arthur Ball
Claimant Lawyers(s): Steven M. Green
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Terry D. Anderson, Kevin K. Forrester, Rose Marie A. Boucher
Hearing Site: San Diego, CA
| | Expungement |
| 10-03277 | 08/05/2011 | Claimant(s): Claire Chen Custodial Account, Joelle Chen Custodial Account, Marcus Chen Custodial Account, Katy Chen Roth IRA, Teh Chen Roth IRA, Katy Chen and Ten Chen JT
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Emily B. Boote
Hearing Site: Minneapolis, MN
| | Expungement |
| 09-04236 | 07/28/2011 | Claimant(s): Donald L. Ames Trust U/A DTD 4/9/82, Mary R. Ames Trust U/A DTD 4/9/82
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Benjamin L. Abramowitz, David C. Matthews, Robert S. Anderson
Hearing Site: Orlando, FL
| | Expungement |
| 09-05758 | 06/30/2011 | Claimant(s): Don Miller, Donald C. Miller Charles Schwab & Co. In
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | Expungement |
| 09-05785 | 05/17/2011 | Claimant(s): Charles Stokes, Mary Stokes
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): George J. Marshall, Roland M. Cavalier, Cheryl H. Agris
Hearing Site: Albany, NY
| | Expungement |
| 10-02167 | 05/06/2011 | Claimant(s): Kimon Peter Daifotis
Claimant Lawyers(s): Kendra S. Canape
Respondent(s): Jinni A. Harrigan Trust U/A dtd 4/26/02
Respondent Lawyers(s): Thomas Mauriello
Arbitrator(s): Linda M. McCoy, Philip Aaron Tymon, Janet Marie Krug
Hearing Site: San Francisco, CA
| | Expungement |
| 10-00258 | 04/14/2011 | Claimant(s): Peter Kortemeyer
Claimant Lawyers(s): Laurence S. Schultz
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Theodore L. Leeb
Hearing Site: Chicago, IL
| | Expungement |
