| 13-00429 | 01/30/2014 | Claimant(s): Patrick Van Hien
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): PCBB Capital Markets.
Respondent Lawyers(s): Daryl S. Landy
Arbitrator(s): Helen Marinak Blohm, Carlos Richard Mangum, Shawn Ridgell
Hearing Site: San Francisco, CA
| | |
| 13-02207 | 12/23/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Chris McCrary
Respondent Lawyers(s): Chris Patrick McCrary
Arbitrator(s): William Ziering
Hearing Site: San Francisco, CA
| | |
| 12-01338 | 12/12/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): William McClendon
Respondent Lawyers(s): Joseph A. Salazar
Arbitrator(s): John J. Flynn, Edwin C. Shiver, Zachary Scott Rigdon
Hearing Site: San Francisco, CA
| | |
| 13-01176 | 12/11/2013 | Claimant(s): Donald Stunkart
Claimant Lawyers(s): Robert Talbot
Respondent(s): Edward Jones
Respondent Lawyers(s): Mitchell C. Newhouse
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
|  | $325 |
| 13-00976 | 12/10/2013 | Claimant(s): Dennis Carlton
Claimant Lawyers(s): Dennis M. Carlton
Respondent(s): Beth Kirkland, John Rohan, Kevin Kitchin, Robert Morgan
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 08-04621 | 12/06/2013 | Claimant(s): Joseph Seidler
Claimant Lawyers(s): Patrick Gillette
Respondent(s): Wachovia Securities, Kevin Kitchin
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Elmo E. Wedderburn, Joseph M. O'Connor, Carol Ann Jensen
Hearing Site: San Francisco, CA
| | |
| 12-02751 | 11/22/2013 | Claimant(s): Christopher Gaertner, Jacqueline Gaertner
Claimant Lawyers(s): David E. Bamberger
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John P. Bevilacqua
Arbitrator(s): Richard L. Rubin, Paul D. Gutierrez, Ronald Chun
Hearing Site: San Francisco, CA
| | Expungement |
| 12-04075 | 11/20/2013 | Claimant(s): Gai 08 Trust Under Agreement dd 10/15/08
Claimant Lawyers(s): Steven A. Clair
Respondent(s): Casey Knowles, Morgan Stanley & Co.
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Jonathan Holman Hathaway, Juleanne A. Thiebaut, Edwin C. Shiver
Hearing Site: San Francisco, CA
| | Expungement |
| 12-02447 | 11/01/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael West
Respondent(s): Sara Reed
Respondent Lawyers(s): Irwin Stein
Arbitrator(s): Alexander L. Mazour, Kathryn J. Toronto, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | Expungement |
| 11-04509 | 10/31/2013 | Claimant(s): Gale A. Pfund and Margery S. Pfund
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Richard B. Bullock, Kenneth W. Gosliner, Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | Expungement |
