| 14-03535 | 06/04/2015 | Claimant(s): Harold Boritz, Karen Boritz
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
|  | $163 |
| 15-00194 | 06/02/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Doug Hyman
Respondent(s): Lloyd Clunie
Respondent Lawyers(s): Lloyd Neale Clunie
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | |
| 14-00035 | 05/21/2015 | Claimant(s): Precioso Gabrillo
Claimant Lawyers(s): Precioso P. Gabrillo
Respondent(s): Charles Vaccarro, Element Trading Technologies LLC
Respondent Lawyers(s): Charles Vaccarroorate Officer
Arbitrator(s): Barbara M. Anscher
Hearing Site: San Francisco, CA
| | $3,437 |
| 13-03227 | 05/18/2015 | Claimant(s): Cindy Shi
Claimant Lawyers(s): Cindy Shu-Way Shi
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Melissa Raphan
Arbitrator(s): Nicholas J. Caputo, Carol Ann Jensen, Sarah Jane Militello
Hearing Site: San Francisco, CA
| | |
| 14-02110 | 05/15/2015 | Claimant(s): Celeste Snyder, Celeste A. Snyder IRA, FBO Celeste A. Snyder ROTH IRA
Claimant Lawyers(s): Celeste A. Snyder
Respondent(s): Deron Allred, John Vanneman, Signator Investors.
Respondent Lawyers(s): Bina Ghanaat, Jibraun B. Riaz
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 14-03640 | 05/06/2015 | Claimant(s): Neil Harris
Claimant Lawyers(s): Neil E Harris
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
| | $213 |
| 14-02063 | 04/28/2015 | Claimant(s): Roberta Wilkins/Sells
Claimant Lawyers(s): Roberta Wilkins/Sells
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony Valenzuela
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | $0 |
| 13-02750 | 04/09/2015 | Claimant(s): Hiroshi & Ione Ishii Family Trust Dated
Claimant Lawyers(s): Richard M. Kelly
Respondent(s): Jason Chan, Sagepoint Financial.
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): William Ziering, Darryl J. Horowitt, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $5,979 |
| 14-03294 | 04/07/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Anthony L. Valenzuela
Respondent(s): Anthony Gantner
Respondent Lawyers(s): Anthony Ferrer Gantner
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 13-00885 | 04/02/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Timothy N. Will
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Michael J. Fish, Nancy A. Yonge, Leonard Jeffrey Stecklow
Hearing Site: San Francisco, CA
| | |
