| 16-03174 | 03/07/2018 | Claimant(s): Gary Fields, Marjorie Fields, Gary B. Fields Roth IRA, Gary B. Fields Traditional IRA, Marjorie Fields Traditional IRA, Fields Family Trust U/A DTD 10/04/1994
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Laurel Littman Gothelf, Robert M. Smith, Norman Dale Menegat
Hearing Site: San Francisco, CA
|  | Expungement |
| 15-01322 | 02/09/2018 | Claimant(s): Winnie Fang
Claimant Lawyers(s): William W. Palmer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Laurel Littman Gothelf, Barbara M. Anscher, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $0 |
| 17-01210 | 11/06/2017 | Claimant(s): Ronald Daly
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Ann C. McCague
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Boise, ID
| | |
| 17-00293 | 09/08/2017 | Claimant(s): Michelle Peng
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 16-03515 | 08/29/2017 | Claimant(s): Laurie Seeman, Michael Cadoo, Michael Cadoo IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): David Down, James Lunsford, Jeanine Devine, Sarah Fong, Timothy Brown, Mid Atlantic Capital Corporation
Respondent Lawyers(s): James B. Lunsford, John W. Stenson
Arbitrator(s): Laurel Littman Gothelf, William Michael Samsel, John Burritt McArthur
Hearing Site: San Francisco, CA
| | Expungement |
| 16-03567 | 07/11/2017 | Claimant(s): Phillip Scott
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 16-03250 | 06/12/2017 | Claimant(s): Robert Keller
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 16-03061 | 04/17/2017 | Claimant(s): Rolf Maile
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Las Vegas, NV
| | |
| 15-02068 | 03/14/2017 | Claimant(s): Laura Birzell, Mark Birzell
Claimant Lawyers(s): John A. Bender, Kristin Nealey Meier
Respondent(s): Nicholas Hodges, Money Concepts Capital Corp.
Respondent Lawyers(s): Gabriel Z. Reynoso, Marc S. Dobin
Arbitrator(s): Laurel Littman Gothelf, John M. Casey, Kate Jacobson
Hearing Site: Seattle, WA
| | Expungement |
| 15-03104 | 02/27/2017 | Claimant(s): Mary Jo Metro
Claimant Lawyers(s): Daniel A. Rogers
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): William J. Brack, Laurel Littman Gothelf, William P. Bergsten
Hearing Site: Seattle, WA
| | $0 |
