| 06-05130 | 02/20/2008 | Claimant(s): Clinton and Julie Howe
Claimant Lawyers(s): F. Albert Ibrahim
Respondent(s): Gregory Geis, Allstate Life Insurance Company, BancWest Investment Services., Bank of the West
Respondent Lawyers(s): Barry D. Hovis, Sonia R. Martin
Arbitrator(s): John Patrick Kelly, Nick G. Tarlson, Mark Aaron Jones
Hearing Site: San Francisco, CA
|  | $3,750 |
| 07-02095 | 02/19/2008 | Claimant(s): Stephen S. Francis
Claimant Lawyers(s): Stephen S Francis
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): William Michael Samsel
Hearing Site: San Francisco, CA
| | $213 |
| 06-04188 | 01/30/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Jeffrey Arburn
Respondent Lawyers(s): Jeffrey Arburn
Arbitrator(s): Alexander L. Mazour, Gary A. Hooker, Christopher W. Allick
Hearing Site: San Francisco, CA
| | |
| 06-04606 | 01/22/2008 | Claimant(s): Katherine Reeve
Claimant Lawyers(s): Niall P. McCarthy
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Edward T. Anderson
Arbitrator(s): Walter P. Hitchcock, Alexandra M. Linden, Gail Killefer
Hearing Site: San Francisco, CA
| | |
| 07-00877 | 12/26/2007 | Claimant(s): Vera Maria Knowles IRA FBO
Claimant Lawyers(s): Vera Maria Knowles
Respondent(s): Matthew Collier, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): H. Kyeng Lee
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | Expungement |
| 07-01852 | 12/21/2007 | Claimant(s): Keith Kritikakos and Hollis L. Orvik
Claimant Lawyers(s): Keith A. Kritikakos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Ferdinand Schoch
Hearing Site: San Francisco, CA
| | $125 |
| 03-06793 | 12/18/2007 | Claimant(s): McLaughlin, Piven, Vogel Securities
Claimant Lawyers(s): Mark G. Vaughan
Respondent(s): Jimmie Griffith
Respondent Lawyers(s): Tania Rose
Arbitrator(s): Thomas D. Reese, William J. Petzel, Sean B. Meehan
Hearing Site: San Francisco, CA
| | |
| 06-00618 | 12/17/2007 | Claimant(s): Steven Thompson
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Thomas D. Reese, Dean J. Dietrich, Steven K. McGinnis
Hearing Site: San Francisco, CA
| | $0 |
| 06-03212 | 12/13/2007 | Claimant(s): Lucille Small
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Citigroup Global Markets., Richard Olsen, Sara Farner, William Blick
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Douglas W. Oldfield, Allan Brotsky, David C. Tateosian
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
| 05-02206 | 12/07/2007 | Claimant(s): Phillip Mottini, Tim Smith
Claimant Lawyers(s): Robin K. Perkins
Respondent(s): Bernard Bunning
Respondent Lawyers(s): Paul L. Cass
Arbitrator(s): Joseph A. Lasky, Robert A. Bleicher, Gerald Joseph Wilfley
Hearing Site: San Francisco, CA
| | |
