| 15-00311 | 11/02/2015 | Claimant(s): Margaret Lucas
Claimant Lawyers(s): John R. Bobay
Respondent(s): Manning & Napier Investor Services.
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Helen Marinak Blohm, Debra Brothers Self, Philip Ho
Hearing Site: San Francisco, CA
|  | $0 |
| 15-00757 | 10/21/2015 | Claimant(s): Michael Green
Claimant Lawyers(s): Michael J. Green
Respondent(s): MetLife Securities Inc.
Respondent Lawyers(s): Christina Teeter
Arbitrator(s): Carl B. Noelke
Hearing Site: San Francisco, CA
| | |
| 14-02344 | 10/14/2015 | Claimant(s): Anthony J. Gimelli Revocable Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | Expungement |
| 14-02768 | 10/05/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Besart Morina
Respondent Lawyers(s): Jay T. Jambeck
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | |
| 13-01889 | 09/16/2015 | Claimant(s): Cliff Shum
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Edward Jones
Respondent Lawyers(s): Will P. Riffelmacher
Arbitrator(s): Philip Aaron Tymon, Homer L. Davis, Gary Kostow
Hearing Site: San Francisco, CA
| | |
| 12-01405 | 09/15/2015 | Claimant(s): Koko Flowers, Thomas E. Flowers Charitable Trust, Koko Fujita Charitable Trust dd 12/31/96, Thomas E. Flowers & Koko Fujita Trust, Thomas E. Flowers Trust dd 9/29/1999
Claimant Lawyers(s): Ann McFarland Draper
Respondent(s): David Gillimore, U.S. Bancorp Investments.
Respondent Lawyers(s): Abe Lampart, Elizabeth M. Hill
Arbitrator(s): Kathryn J. Toronto, Robert M. Smith, Sterling N. Frost
Hearing Site: San Francisco, CA
| | $0 |
| 12-00013 | 08/25/2015 | Claimant(s): S & S Farms.
Claimant Lawyers(s): Richard Sacks
Respondent(s): Philip Pizelo, Shanon Ford, Toni Sutherland
Respondent Lawyers(s): David Wakukawa, Philip A. Pizelo, Shanon L. Ford
Arbitrator(s): James N. D'Orso, Thomas D. Reese, Edward J. Harkins
Hearing Site: San Francisco, CA
| | Expungement |
| 14-03445 | 08/21/2015 | Claimant(s): Southwest Securities.
Claimant Lawyers(s): Richard D. Pullman
Respondent(s): Neville Richardson
Respondent Lawyers(s): Neville Richardson
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | |
| 15-00188 | 08/07/2015 | Claimant(s): Lawrence Spergel
Claimant Lawyers(s): Lawrence M. Spergel
Respondent(s): Tatyana Andreyeva
Respondent Lawyers(s): Tatyana Andreyeva
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $20,425 |
| 14-02501 | 08/06/2015 | Claimant(s): Christopher Godchaux
Claimant Lawyers(s): Christopher Barnett Godchaux
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Toby Cooper
Respondent Lawyers(s): Susan Roxanne Sheehan
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | $15,568 |
