| 13-01720 | 11/24/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Mark Gillelen
Respondent Lawyers(s): Mark Calvin Gillelen
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | |
| 14-02391 | 11/21/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Robert Altemus
Respondent Lawyers(s): Robert Joseph Altemus
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | |
| 09-03573 | 11/18/2014 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Derek Delsimone, Robert Burpee
Respondent Lawyers(s): Jacqueline deSouza
Arbitrator(s): Michelle Judy Brant, Amy Seltzer, E. Duane Stephens
Hearing Site: San Francisco, CA
| | |
| 13-02801 | 11/18/2014 | Claimant(s): Carolyn Erskine
Claimant Lawyers(s): Christopher C. Cooke
Respondent(s): LPL Financial LLC, Michael Allard, National Planning Corporation
Respondent Lawyers(s): Jon D. Kaplon, Louie H. Castoria, Michael T. Regan
Arbitrator(s): William Ziering, Thomas J. LoSavio, Kevin C. Coleman
Hearing Site: San Francisco, CA
|  | Dismissed by Rule 12206 |
| 11-04655 | 11/13/2014 | Claimant(s): CDC TIC 21, Warren Family Trust
Claimant Lawyers(s): Kirk Smith
Respondent(s): Toni Sutherland
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Laurel Littman Gothelf, Robert H. Cornell, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | Expungement |
| 13-00509 | 10/30/2014 | Claimant(s): Alex Vitale
Claimant Lawyers(s): Howard E. King
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Douglas W. Oldfield, Pamela S. Mann, Louis Anthony Napoli
Hearing Site: San Francisco, CA
| | |
| 13-01431 | 10/28/2014 | Claimant(s): Alfred Scott
Claimant Lawyers(s): Alfred Lee Scott
Respondent(s): A. Eddleman, Christian Eddleman, FSC Securities Corporation, Lea Goodman
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Isidoro Berkman, Nicholas J. Caputo, Pamela S. Mann
Hearing Site: San Francisco, CA
| | |
| 12-01876 | 10/23/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): Steven Lavorando
Respondent Lawyers(s): Steven Mark Lavorando
Arbitrator(s): Mary Margaret Bush, Val D. Hornstein, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | |
| 13-00011 | 10/22/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | |
| 14-01607 | 10/15/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Brian DeWitt, Mila DeWitt
Respondent Lawyers(s): Brian L. DeWitt
Arbitrator(s): Linda M. McCoy, E. Duane Stephens, Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | Expungement |
