| 12-04233 | 08/21/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): Edward Zerweck
Respondent Lawyers(s): Edward Herman Zerweck
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 12-00026 | 08/16/2013 | Claimant(s): Om Kalra
Claimant Lawyers(s): Om Parkash Kalra
Respondent(s): Hemant Kathuria, Euro Pacific Capital.
Respondent Lawyers(s): Robert Decker
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
|  | $0 |
| 12-01115 | 08/09/2013 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Thomas Rittenburg
Respondent(s): Henry Korngut
Respondent Lawyers(s): James A. Hughes
Arbitrator(s): Michael J. Fish
Hearing Site: San Francisco, CA
| | |
| 12-00938 | 08/09/2013 | Claimant(s): Joyashree Guha, Mita Guha, Neela Guha, Tridib Guha
Claimant Lawyers(s): Tridib Guha
Respondent(s): David Taylor, Lucile Weed, Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Joseph M. O'Connor, Philip Aaron Tymon, Sean B. Meehan
Hearing Site: San Francisco, CA
| | Expungement |
| 11-02217 | 07/23/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Eric DeMarcus, William Yates
Respondent Lawyers(s): Eric DeMarcus, William P. Wallenstein
Arbitrator(s): Edwin C. Shiver, Gerald Joseph Wilfley, Martin Joel Fassler
Hearing Site: San Francisco, CA
| | |
| 12-01975 | 07/23/2013 | Claimant(s): Alex Binai
Claimant Lawyers(s): D. Daxton White
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Michelle Judy Brant, Sterling N. Frost, Kenneth W. Gosliner
Hearing Site: San Francisco, CA
| | Expungement |
| 11-01424 | 07/12/2013 | Claimant(s): Mary Anne Barreiro
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Anthony Vlahiotis, George Carathimas, Ameritas Investment Corp.
Respondent Lawyers(s): David Wakukawa, Louis H. Castoria, Richard Sacks
Arbitrator(s): Richard L. Rubin, Nick G. Tarlson, George King
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01712 | 07/12/2013 | Claimant(s): Robert Epperson IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): David H. S. Commins
Arbitrator(s): Lester Friedman, Daniel M. Yamshon, Paul D. Gutierrez
Hearing Site: San Francisco, CA
| | Expungement |
| 13-00330 | 06/21/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Susan E. Delaney
Respondent(s): Jonathan Muir
Respondent Lawyers(s): Jonathan S Muir
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | |
| 13-00173 | 06/17/2013 | Claimant(s): Brannan Vaughan
Claimant Lawyers(s): Timm A. VerDuin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timm A. VerDuin
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
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