| 13-00469 | 10/29/2013 | Claimant(s): Rocco Frattaroli
Claimant Lawyers(s): Rocco Frattaroli
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Walter J. Huntley
Hearing Site: San Francisco, CA
|  | $3,289 |
| 12-03080 | 10/21/2013 | Claimant(s): Anna Guyer
Claimant Lawyers(s): Ryan T. Dunn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
| | |
| 12-02241 | 10/16/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Babak Yousefzadeh
Respondent(s): Christopher Oster
Respondent Lawyers(s): Christopher William Oster
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 13-01075 | 10/15/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Donald McBirney
Respondent Lawyers(s): Donald James Mcbirney
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | |
| 12-00605 | 10/11/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Ramin Hashemi
Respondent Lawyers(s): Ramin Hashemi
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | |
| 11-02159 | 10/10/2013 | Claimant(s): Tom Garcia
Claimant Lawyers(s): Daniel B. Lipson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Michelle Judy Brant
Hearing Site: San Francisco, CA
| | Expungement |
| 13-00996 | 10/08/2013 | Claimant(s): Ryan Brookman
Claimant Lawyers(s): Ryan Paul Brookman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Leo Kogan
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | |
| 13-00926 | 10/01/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Daniel Brown
Respondent Lawyers(s): Daniel Montese Brown
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | |
| 13-00340 | 09/20/2013 | Claimant(s): Rachael Konz
Claimant Lawyers(s): Kenneth C. Mennemeier
Respondent(s): Marlene Wade
Respondent Lawyers(s): John M. Goralka
Arbitrator(s): Alexander L. Mazour, Linda M. McCoy, Michael J. Fish
Hearing Site: San Francisco, CA
| | Expungement |
| 11-00656 | 08/26/2013 | Claimant(s): Joanna George, Randy George
Claimant Lawyers(s): Randy George
Respondent(s): Erinn Ford, Joshua Swayne, Mark McCloskey, Philip Pizelo, Shanon Ford, William Swayne, Pacific West Financial Group Co., Pacific West Securities., WMS Financial Planners Inc.
Respondent Lawyers(s): Dennis J. Kelly
Arbitrator(s): Philip Aaron Tymon, Michael Lancaster Garcia, Robert Hilton Keller
Hearing Site: San Francisco, CA
| | $0 |
