| 16-01485 | 01/19/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N Will
Respondent(s): David McDonald
Respondent Lawyers(s): Victor Bayata
Arbitrator(s): Walter J. Huntley
Hearing Site: San Francisco, CA
| | |
| 15-01635 | 01/19/2017 | Claimant(s): Alan Barrett, Margaret Barrett
Claimant Lawyers(s): Robert B. Ingram
Respondent(s): LPL Financial LLC, Ernest Renner, Steven Lambert
Respondent Lawyers(s): Amir Tadjedin, Ryan Probstfeld, Thomas Franklin Barnett
Arbitrator(s): Thomas D. Reese, Jonathan H. Krotinger, Bradley C. Mitchell
Hearing Site: San Francisco, CA
|  | $0 |
| 16-01228 | 01/06/2017 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): John Ellis
Respondent(s): Thomas Bennett
Respondent Lawyers(s): Thomas Bradford Bennett
Arbitrator(s): William Ziering
Hearing Site: San Francisco, CA
| | |
| 16-01449 | 12/12/2016 | Claimant(s): Alden Fisher, Alyssa Fisher
Claimant Lawyers(s): Alden Fisher
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Timothy M. Huksey
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $914 |
| 13-01505 | 11/21/2016 | Claimant(s): Joan Wager, Joyce Haber, Lucinda Page, Martha Fakhoury, Maurice Fakhoury, Peter Neuwirth, Sam Regen, Steven Terusaki
Claimant Lawyers(s): Steven J. Rotunno
Respondent(s): Krittibas Ray
Respondent Lawyers(s): Krittibas Ray
Arbitrator(s): Isidoro Berkman, Wendi Lee Eckardt, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | $100,000 |
| 13-02295 | 11/03/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Adam Boynton
Respondent Lawyers(s): Adam Christopher Boynton
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 15-00268 | 10/14/2016 | Claimant(s): Bradley Finegold
Claimant Lawyers(s): Albert M. Kun
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Thomas White
Respondent Lawyers(s): Spencer Persson
Arbitrator(s): Linda M. McCoy, Dean J. Dietrich, Brandon Keith Hemley
Hearing Site: San Francisco, CA
| | $0 |
| 14-01816 | 10/04/2016 | Claimant(s): Barbara Padillia, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver
Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers
Respondent(s): Royal Alliance Associates., Kathleen Tarr, Richard McCollam
Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki
Arbitrator(s): Isidoro Berkman, Peter H. Daly, Mario Singleton
Hearing Site: San Francisco, CA
| | $1,933,000 |
| 16-01226 | 09/13/2016 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): John D. Ellis
Respondent(s): Masami Sakai
Respondent Lawyers(s): Masami Ray Sakai
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 14-00307 | 09/08/2016 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Michael Zent, Nicolas Tabellion
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Isidoro Berkman, Gary S. DeWeese, Mark Edward Hoaglin
Hearing Site: San Francisco, CA
| | |
