| 08-04812 | 06/13/2013 | Claimant(s): Gary Cattich
Claimant Lawyers(s): Gary Cattich
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Jarrott T. Miller, Douglas W. Oldfield, Edwin C. Shiver
Hearing Site: San Francisco, CA
| | |
| 12-00893 | 06/13/2013 | Claimant(s): Maxine Pope, Michael Pope, The Maxine O. Pope Trust Dated 04-05-90, The Michael Pope Trust Dated 06-09-08
Claimant Lawyers(s): Michael Hume, Thomas C. Bradley
Respondent(s): Wells Fargo Advisors, John Carlsen
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): Thomas D. Reese, Mary Margaret Bush, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
|  | Expungement |
| 09-05028 | 06/12/2013 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Steven Stahlberg
Respondent Lawyers(s): Stephen F. Boutin
Arbitrator(s): Laurel Littman Gothelf, Herbert L. Brown, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | |
| 12-00953 | 06/11/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Randall Krenzin, William Zurn
Respondent Lawyers(s): Jeffrey L. Malek
Arbitrator(s): Carlos Richard Mangum, Thomas C. McNally, William Michael Samsel
Hearing Site: San Francisco, CA
| | |
| 12-02243 | 06/11/2013 | Claimant(s): Garrett Grove
Claimant Lawyers(s): John D. Grove
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 12-03263 | 05/23/2013 | Claimant(s): Marylyn Siewert Cust Michael Bellotti, Marylyn Stiewert Cust Zachery Rickenbach, Peter K. Siewert, IRA
Claimant Lawyers(s): Marilyn Siewert, Peter K. Siewert
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timm A. VerDuin
Arbitrator(s): Frank R Weaver
Hearing Site: San Francisco, CA
| | $163 |
| 11-04491 | 05/22/2013 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Edward Wedbush, Holly Hansen
Respondent Lawyers(s): Charles LaChaussee, David H.S. Commins
Arbitrator(s): Carlos Richard Mangum, Robin Lynn Berry, Barbara M. Anscher
Hearing Site: San Francisco, CA
| | |
| 12-00003 | 05/20/2013 | Claimant(s): Tim Welch
Claimant Lawyers(s): Tim L Welch
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anne Reilly
Arbitrator(s): Walter J. Huntley
Hearing Site: San Francisco, CA
| | $0 |
| 12-01383 | 05/17/2013 | Claimant(s): Harvest & Rowe. Retirement Plan
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Allison Rowe, Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela, Brett A. Alcala
Arbitrator(s): Nick G. Tarlson
Hearing Site: San Francisco, CA
| | $17,384 |
| 08-03782 | 05/10/2013 | Claimant(s): Alyce Johnson, Andrew Balistreri, Anita Robertson, Ann Solomon, Ardeth Ullman, Barbara Grant, Beulah Flood, Carmen Yaskewich, Carol Brochini, Cary Tremewan, Catherine Hanoum, Darlene Harris, David Hinkel, Diane Kinzli, Donald King, Doreen Elkins, Dorothy Jones, Duncan Grant, Ernest Kinzli, Frank Thomas, et al
Claimant Lawyers(s): Patrick Baldwin
Respondent(s): Ruthe Gomez, Financial Networks Group, NDX Trading., Traderight Securities.
Respondent Lawyers(s): Christopher Nelson, Michael J. Rukujzo, Patrick Baldwin
Arbitrator(s): James N. D'Orso, M. Scott Donahey, Rahul K. Surana
Hearing Site: San Francisco, CA
| | $4,277,740 |
