| 13-00296 | 03/10/2014 | Claimant(s): Suzanne Vierra IRA, Virra Broshear Enterprises Defined Benef
Claimant Lawyers(s): Charles A. Tweedy, Joseph W. Scalia
Respondent(s): Gene Williams, Walnut Street Securities.
Respondent Lawyers(s): Louis Castoria
Arbitrator(s): Lester Friedman, James N. D'Orso, Dennis Markham Smith
Hearing Site: San Francisco, CA
|  | Expungement |
| 12-00167 | 03/04/2014 | Claimant(s): Sehat Sutardja, Weili Dai, Sutardja Family Partners
Claimant Lawyers(s): David Elsberg, John Quinn
Respondent(s): Bradley Defoor, Goldman, Sachs and Company, Graham Brandt
Respondent Lawyers(s): David L. Zifkin, David R. Boyd, Jonathan D. Schiller
Arbitrator(s): Thomas J. LoSavio, Jonathan Holman Hathaway, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $0 |
| 13-01094 | 02/27/2014 | Claimant(s): Peter McCabe
Claimant Lawyers(s): Peter McCabe
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | $163 |
| 12-00441 | 02/24/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Michael Hawkes
Respondent Lawyers(s): Melinda Jane Steuer
Arbitrator(s): Reed H. Bement, Jarrott T. Miller, Amy Seltzer
Hearing Site: San Francisco, CA
| | |
| 12-01509 | 02/21/2014 | Claimant(s): Jack Ugo Marchi & Mary V. Marchi Trust
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Laurel Littman Gothelf, Linda M. McCoy, Elmo E. Wedderburn
Hearing Site: San Francisco, CA
| | Expungement |
| 13-00258 | 02/19/2014 | Claimant(s): Dolores Smallen, Martin Smallen, The Smallen Family Trust U/A dated 5/31/
Claimant Lawyers(s): Christopher Gray
Respondent(s): Shawn Davis, Berthel, Fisher & Company Financial Svcs
Respondent Lawyers(s): Louis H. Castoria
Arbitrator(s): Jane Bradley, Jonathan Holman Hathaway, David I. Levine
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 13-01405 | 02/11/2014 | Claimant(s): Larry Flay
Claimant Lawyers(s): Larry Flay
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Linda M. McCoy
Hearing Site: San Francisco, CA
| | $2,882 |
| 12-03552 | 02/11/2014 | Claimant(s): Laura Lambert, Scott Lambert
Claimant Lawyers(s): Joseph Wood
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): John P. Wilson, John J. Fitzpatrick, Walter F. Dillaway
Hearing Site: San Francisco, CA
| | $0 |
| 11-03812 | 02/07/2014 | Claimant(s): Thomas Boster
Claimant Lawyers(s): Teresa A. Cunningham
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nathan R. Jaskowiak
Arbitrator(s): Thomas J. LoSavio, Nancy Hutt, Edwin C. Shiver
Hearing Site: San Francisco, CA
| | |
| 10-05590 | 02/04/2014 | Claimant(s): Janette Athanassious, Nabil Athanassious
Claimant Lawyers(s): Eric Benink
Respondent(s): Marc Blot, Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman, Timothy Feil
Arbitrator(s): Reed H. Bement, Urs Laeuchli, Daniel Martell
Hearing Site: San Francisco, CA
| | Expungement |
