| 16-02012 | 07/02/2018 | Claimant(s): Alberto Fogel, Rita Bemaras De Mizrachi
Claimant Lawyers(s): Brian Levin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): William Ziering, Ralph A. Cotton, Daniel M. Yamshon
Hearing Site: San Francisco, CA
|  | Expungement |
| 17-02400 | 06/29/2018 | Claimant(s): Michael Allard
Claimant Lawyers(s): Armin Sarabi
Respondent(s): LPL Financial LLC, National Planning Corporation
Respondent Lawyers(s): Jon D. Kaplon, Scott R. Forbush
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | |
| 17-01333 | 06/25/2018 | Claimant(s): Tracy Corn, TTDY TOO LLC
Claimant Lawyers(s): David Valicenti
Respondent(s): David Traverso, Morgan Stanley & Co.
Respondent Lawyers(s): John S. Worden
Arbitrator(s): William Ziering, Kathryn J. Toronto, Nancy A. Yonge
Hearing Site: San Francisco, CA
| | $0 |
| 18-00003 | 06/20/2018 | Claimant(s): Securities America.
Claimant Lawyers(s): Chad Weaver
Respondent(s): Timothy Ballard
Respondent Lawyers(s): Timothy David Ballard
Arbitrator(s): George King
Hearing Site: San Francisco, CA
| | |
| 17-01023 | 06/13/2018 | Claimant(s): Leslie Baronian, The Birgitta Baronian Decedent's Trust
Claimant Lawyers(s): Cary S. Lapidus, Nancy C. Field
Respondent(s): Dustin Brown, RBC Capital Markets LLC
Respondent Lawyers(s): Abe Lampart, Michael M. Gless
Arbitrator(s): Carlos Richard Mangum, Minnie Loo, Kenneth Paul Strongman
Hearing Site: San Francisco, CA
| | Expungement |
| 17-02357 | 06/06/2018 | Claimant(s): Seval Oz
Claimant Lawyers(s): Seval F. Oz
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Fern M. Laethem
Hearing Site: San Francisco, CA
| | $1,592 |
| 17-01547 | 05/24/2018 | Claimant(s): Peter Lawrence, The Norma S. Pappas Trust U/A 7/12/1993
Claimant Lawyers(s): Jeremy Scott Hyndman
Respondent(s): Bao Vu, TD Ameritrade., Steve Kim
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): Helen Marinak Blohm, Dean J. Dietrich, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | $0 |
| 16-02604 | 05/09/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Mauricio Beugelmans
Respondent(s): Rachael Konz
Respondent Lawyers(s): Rachael Leigh Konz
Arbitrator(s): William J. Petzel, Bradley C. Mitchell, Paul Mabry
Hearing Site: San Francisco, CA
| | |
| 16-02246 | 04/24/2018 | Claimant(s): Jacob Coronado
Claimant Lawyers(s): Henry D. Nunez
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments, Mark Nance, Michael Muller, Wells Fargo Bank National Association
Respondent Lawyers(s): Michael Joseph Gomez
Arbitrator(s): Paul J. Dubow, Peter H. Daly, Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $181,931 |
| 17-03482 | 04/20/2018 | Claimant(s): Robert Ferreira
Claimant Lawyers(s): Robert E. Ferreira
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $925 |
