| 16-02290 | 01/12/2017 | Claimant(s): Eric Wishan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Portland, OR
| | |
| 15-00756 | 05/06/2016 | Claimant(s): Iraj Zandi
Claimant Lawyers(s): Michael S. Treppa
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
|  | $30,225 |
| 15-02909 | 04/18/2016 | Claimant(s): Christopher Coghlan
Claimant Lawyers(s): Patrick R Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 15-01969 | 04/06/2016 | Claimant(s): V. Threlkeld
Claimant Lawyers(s): Gordon C. Young
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Gabriel Z. Reynoso
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 14-02501 | 08/06/2015 | Claimant(s): Christopher Godchaux
Claimant Lawyers(s): Christopher Barnett Godchaux
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Toby Cooper
Respondent Lawyers(s): Susan Roxanne Sheehan
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | $15,568 |
| 14-02550 | 03/30/2015 | Claimant(s): Arthur Cooper, David Mcmanus
Claimant Lawyers(s): Elaine M. Rice, George L. Guerra
Respondent(s): Securities America.
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Helen Marinak Blohm, Laurel Littman Gothelf, Cynthia B. Stone
Hearing Site: Los Angeles, CA
| | |
| 13-00364 | 03/17/2015 | Claimant(s): The Donald J. Adams Trust
Claimant Lawyers(s): J. Ray Ayers
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Bank of America, N.A.
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Laurel Littman Gothelf, Seymour A. Kolman, Edwin John Apenbrink
Hearing Site: Las Vegas, NV
| | Expungement |
| 14-01758 | 03/09/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Keith Steel, Megan Steel, Anpei Lin, Community Property
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Loyd Paxton Derby, Carlos Richard Mangum, Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | Expungement |
| 11-04655 | 11/13/2014 | Claimant(s): CDC TIC 21, Warren Family Trust
Claimant Lawyers(s): Kirk Smith
Respondent(s): Toni Sutherland
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Laurel Littman Gothelf, Robert H. Cornell, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01509 | 02/21/2014 | Claimant(s): Jack Ugo Marchi & Mary V. Marchi Trust
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Laurel Littman Gothelf, Linda M. McCoy, Elmo E. Wedderburn
Hearing Site: San Francisco, CA
| | Expungement |
