| 13-02754 | 02/23/2015 | Claimant(s): Rodolfo C. and Maria O. Del Real Family
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Andrew R. Epstein, Sterling N. Frost, Gary H. Kahn
Hearing Site: San Francisco, CA
|  | Expungement |
| 14-01363 | 01/28/2015 | Claimant(s): Deanne Lee, Mark Lee
Claimant Lawyers(s): Mark A. Lee
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Carol Ann Jensen
Hearing Site: San Francisco, CA
| | $0 |
| 11-04285 | 01/16/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John R. Bamford
Respondent(s): Michael Doyle
Respondent Lawyers(s): Michael Britt Doyle
Arbitrator(s): Gary H. Kahn, Terri Coster Boesch, Ralph L. Jacobson
Hearing Site: San Francisco, CA
| | |
| 11-01803 | 01/07/2015 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Leslie Wolfson
Respondent Lawyers(s): David Sternberg
Arbitrator(s): Herb Schwartz, Gary S. DeWeese, Edward J. Harkins
Hearing Site: San Francisco, CA
| | |
| 14-01912 | 12/19/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Ben Schwartz, Simplified Employee Plan,Ben I. Schwartz, Schwartz Commercial Realty Defined Benef
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Peter H. Daly, Jeffrey Schubert, Shawn Ridgell
Hearing Site: San Francisco, CA
| | Expungement |
| 13-00818 | 12/11/2014 | Claimant(s): Voecks Trust U/T/A DTD 05/19/2005
Claimant Lawyers(s): Steven D Toskes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Linda M. McCoy, Joseph M. Fabricatore, Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | Expungement |
| 13-00366 | 12/08/2014 | Claimant(s): Michael Hammel, Michael D. Hammel IRA
Claimant Lawyers(s): Ryan Cook, Samuel B. Edwards
Respondent(s): James Bernthal, Qi Huang, Stephen Grivas, Upinder Sharma, Obsidian Financial Group
Respondent Lawyers(s): James Rhys Bernthal, Kevin Sharma, Qi Huang, Stephen Grivas, Upinder Kumar Sharma
Arbitrator(s): Kathryn J. Toronto, Barbara M. Anscher, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | $182,932 |
| 14-01692 | 12/02/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John W. Stenson
Respondent(s): Jason Mininger
Respondent Lawyers(s): Jason Eric Mininger
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | |
| 12-04200 | 12/01/2014 | Claimant(s): Dragon Arena, LTD.
Claimant Lawyers(s): Stephen Cohen
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): Jane Bradley, Darryl J. Horowitt, Martin Harris Dodd
Hearing Site: San Francisco, CA
| | Expungement |
| 14-01146 | 11/26/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): James Triguero
Respondent Lawyers(s): James Kevin Triguero
Arbitrator(s): William J. Petzel
Hearing Site: San Francisco, CA
| | |
