| 10-01754 | 12/19/2013 | Claimant(s): Rita Cervoni, Vincent Cervoni
Claimant Lawyers(s): Howard Roitman
Respondent(s): Billy Wisdom, Wachovia Securities, Kevin Healy, William Brancato
Respondent Lawyers(s): Beth A. Black
Arbitrator(s): Laurel Littman Gothelf, George Frederick Garris, Royetta M. Jones
Hearing Site: Las Vegas, NV
|  | Expungement |
| 09-05028 | 06/12/2013 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Steven Stahlberg
Respondent Lawyers(s): Stephen F. Boutin
Arbitrator(s): Laurel Littman Gothelf, Herbert L. Brown, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | |
| 10-01278 | 04/23/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Kit Jory
Respondent Lawyers(s): Kit P. Jory
Arbitrator(s): Carl B. Noelke, Laurel Littman Gothelf, Elmo E. Wedderburn
Hearing Site: San Francisco, CA
| | |
| 11-03423 | 12/12/2012 | Claimant(s): Tappan Merrick
Claimant Lawyers(s): David Chun
Respondent(s): Dean McGill, Ameriprise Financial Services., Robert Stern
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Laurel Littman Gothelf, William Michael Samsel, Roger Gilbert
Hearing Site: San Francisco, CA
| | |
| 11-04512 | 11/30/2012 | Claimant(s): Bonnie Halleran, Kirt Willard
Claimant Lawyers(s): Kirt Willard
Respondent(s): James Parenti, James Williams
Respondent Lawyers(s): James A. Stankowski
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | $0 |
| 12-01549 | 11/08/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Charles S. Hoyt, IRA, SEP-IRA, Charles S. Hoyt & Nancy S. Hoyt
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Laurel Littman Gothelf, Jerold R. Babin, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | Expungement |
| 08-03388 | 10/30/2012 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Dermot Durnin
Respondent Lawyers(s): Dermot Durnin
Arbitrator(s): Douglas E. DeTata, Laurel Littman Gothelf, Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 11-00800 | 03/16/2012 | Claimant(s): David Taylor
Claimant Lawyers(s): William R. Warne
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Ferdinand Schoch, Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | Expungement |
| 11-01055 | 02/10/2012 | Claimant(s): John Francois
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Zions Direct.
Respondent Lawyers(s): Bart K. Larsen
Arbitrator(s): Laurel Littman Gothelf, Thomas J. Tanksley, Daniel Clay McGuire
Hearing Site: Las Vegas, NV
| | $36,050 |
| 10-01823 | 10/03/2011 | Claimant(s): Beverley Hylton
Claimant Lawyers(s): Beverley M. Hylton
Respondent(s): Edward Wedbush, Wedbush Securities Inc.
Respondent Lawyers(s): John L. Erikson
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Las Vegas, NV
| | |
