| 09-03016 | 07/19/2011 | Claimant(s): Vickie Parrish, EB and Vickie Tedesco Family Trust
Claimant Lawyers(s): David Liebrader
Respondent(s): Wells Fargo Investments, Jon Erickson, Patricia Fontan-Sorlie
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Laurel Littman Gothelf, Dean C. Abraham, Dee Newell
Hearing Site: Las Vegas, NV
|  | Expungement |
| 09-02484 | 05/03/2011 | Claimant(s): Joseph Oliveira
Claimant Lawyers(s): Joseph Oliveira
Respondent(s): James Cabral, Nathan Terrazas, Nikolaos Plakakis, Paula Allen, World Group Securities.
Respondent Lawyers(s): Edward F. Donohue, Jason J. Kim
Arbitrator(s): Laurel Littman Gothelf, Julie D. Soo, Terri Coster Boesch
Hearing Site: San Francisco, CA
| | $0 |
| 09-00403 | 03/14/2011 | Claimant(s): Matthew Lam
Claimant Lawyers(s): Howard M. Hoffman
Respondent(s): Jesse Ramos, Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Robert E. Thompson, Laurel Littman Gothelf, William A. Husa
Hearing Site: San Francisco, CA
| | Expungement |
| 08-01388 | 01/31/2011 | Claimant(s): Deborah Herman, Frederick Herman
Claimant Lawyers(s): Frederick Herman
Respondent(s): Colleen Langs, Charles Schwab & Co.., Marcia Novick
Respondent Lawyers(s): Garrett Wynne
Arbitrator(s): Laurel Littman Gothelf, Thomas H. O'Connor, Sterling N. Frost
Hearing Site: San Francisco, CA
| | Expungement |
| 10-00773 | 01/18/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Kenneth Shaffer
Respondent Lawyers(s): Kenneth C. Shaffer
Arbitrator(s): Marlyn G. McClaskey, Laurel Littman Gothelf, Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 09-05198 | 02/17/2010 | Claimant(s): James Patrick
Claimant Lawyers(s): James W. Patrick
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | $425 |
| 08-00641 | 09/03/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A Karoly
Respondent(s): Donald Newman, New Man.
Respondent Lawyers(s): Donald E. Newman
Arbitrator(s): Laurel Littman Gothelf, William A. Husa, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | |
