| 17-01901 | 04/18/2018 | Claimant(s): Michael Tomren
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Montauk Securities Corp., QA3 Financial Corp.
Respondent Lawyers(s): Robert I. Rabinowitz, Stephen K. Wild
Arbitrator(s): Joseph M. O'Connor
Hearing Site: San Francisco, CA
| | |
| 17-02462 | 04/06/2018 | Claimant(s): Bradley Glasman
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 17-02089 | 04/04/2018 | Claimant(s): David Mendoza
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 17-01179 | 04/02/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Travis Marks
Respondent Lawyers(s): Travis M Marks
Arbitrator(s): Ralph L. Jacobson
Hearing Site: San Francisco, CA
| | |
| 16-03422 | 03/08/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): David C. Roth
Respondent(s): Joseph Sweeney
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Daniel M. Yamshon, Dean J. Dietrich, Carol Ann Jensen
Hearing Site: San Francisco, CA
| | |
| 16-03174 | 03/07/2018 | Claimant(s): Gary Fields, Marjorie Fields, Gary B. Fields Roth IRA, Gary B. Fields Traditional IRA, Marjorie Fields Traditional IRA, Fields Family Trust U/A DTD 10/04/1994
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Laurel Littman Gothelf, Robert M. Smith, Norman Dale Menegat
Hearing Site: San Francisco, CA
|  | Expungement |
| 17-01888 | 02/26/2018 | Claimant(s): Susanna Bracke
Claimant Lawyers(s): Adam M. Kauff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Denver G. Edwards
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 17-02779 | 02/21/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Yu-Chin Chen
Respondent Lawyers(s): Yu-Chin Grace Chen
Arbitrator(s): Lawrence R. Mills
Hearing Site: San Francisco, CA
| | |
| 15-01322 | 02/09/2018 | Claimant(s): Winnie Fang
Claimant Lawyers(s): William W. Palmer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Laurel Littman Gothelf, Barbara M. Anscher, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $0 |
| 17-01050 | 02/08/2018 | Claimant(s): Gregory Sain
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Joanne Harris, Robert Harris, The Harris Revocable Trust
Respondent Lawyers(s): Robert N. Harris
Arbitrator(s): Gilbert R. Serota, John J. Fitzpatrick, Benjamin Slomoff
Hearing Site: San Francisco, CA
| | Expungement |
