| 13-03274 | 03/31/2015 | Claimant(s): Roberta Franklin, The Downey Brand, LLP Employment Retirem, Roberta Lee Franklin IRA
Claimant Lawyers(s): Roberta Lee Franklin
Respondent(s): Edward Stadjuhar, Sagepoint Financial., Strategic Wealth Advisors Group
Respondent Lawyers(s): Gregory T. Fayard, Kasumi L. Takahashi
Arbitrator(s): Ralph A. Cotton, Michael J. Fish, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
|  | Expungement |
| 14-03096 | 03/27/2015 | Claimant(s): Randall Krenzin
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | |
| 14-02832 | 03/16/2015 | Claimant(s): Andrew Gall
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Linda M. McCoy
Hearing Site: San Francisco, CA
| | |
| 14-02373 | 03/12/2015 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Juan Rumayor
Respondent Lawyers(s): Juan Diego Rumayor
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 14-01758 | 03/09/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Keith Steel, Megan Steel, Anpei Lin, Community Property
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Loyd Paxton Derby, Carlos Richard Mangum, Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | Expungement |
| 14-02203 | 03/04/2015 | Claimant(s): Randall Krenzin
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Ronald Chun
Hearing Site: San Francisco, CA
| | |
| 14-02721 | 03/04/2015 | Claimant(s): MayaKala LLC
Claimant Lawyers(s): Deepak K. Kanungo
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
| | $213 |
| 13-00043 | 03/03/2015 | Claimant(s): Arnold Levins
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Daniel M. Yamshon, Barbara M. Anscher, Kevin C. Coleman
Hearing Site: San Francisco, CA
| | $0 |
| 14-02201 | 02/26/2015 | Claimant(s): Xiwei Wu
Claimant Lawyers(s): Xiwei Wu
Respondent(s): Zhaohui Chen, Transamerica Financial Advisors
Respondent Lawyers(s): Susan Duff
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $0 |
| 14-02105 | 02/23/2015 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol Li
Respondent(s): Rey Deborja
Respondent Lawyers(s): Rey Dante Deborja
Arbitrator(s): Thomas C. McNally
Hearing Site: San Francisco, CA
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