| 12-02554 | 05/03/2013 | Claimant(s): Ariel Mendoza
Claimant Lawyers(s): Ariel M. Mendoza
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Mack E. McCain
Arbitrator(s): Darryl J. Horowitt
Hearing Site: San Francisco, CA
|  | $38 |
| 11-03992 | 04/25/2013 | Claimant(s): Roberta Jessop, Raymond Eugene & Roberta Jessop Rev Trst
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Sheldon Schumaker, Pruneyard Financial Group., Western International Securities.
Respondent Lawyers(s): Andrew D. Castricone, Daniel S. Kubasak
Arbitrator(s): Carl B. Noelke, Pamela S. Mann, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | Expungement |
| 10-04191 | 04/24/2013 | Claimant(s): Herbert Huber, Kathryn Huber
Claimant Lawyers(s): Garry W. O'Donnell, Rose M. Schindler
Respondent(s): Marvin Remmich
Respondent Lawyers(s): Andrew Harris
Arbitrator(s): Paul D. Gutierrez, Jonathan H. Krotinger, William J. Petzel
Hearing Site: San Francisco, CA
| | $0 |
| 10-01278 | 04/23/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Kit Jory
Respondent Lawyers(s): Kit P. Jory
Arbitrator(s): Carl B. Noelke, Laurel Littman Gothelf, Elmo E. Wedderburn
Hearing Site: San Francisco, CA
| | |
| 11-00694 | 04/22/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jeffrey N. Goldberg
Respondent(s): Henrique Berger
Respondent Lawyers(s): Henrique Berger
Arbitrator(s): Jane Bradley, Susan B. Gans-Smith, Zachary Scott Rigdon
Hearing Site: San Francisco, CA
| | |
| 10-05466 | 04/05/2013 | Claimant(s): Alice Soto, Betty Lee, Blair Brooksby, Curtis Alling, Curtis Sylvester-Jose, Curtis Webb, Darryl Morrison, David Campell, David Moy, Deborah Keyston, Evelyn Delcid, Francesca Brown, George Keyston, James Chew, James Weidinger, Jean Chew, Jeannette Chan, Jerry Rubelt, Kin Leong, Kirk Theis, et al
Claimant Lawyers(s): Matthew K. Edling
Respondent(s): Pacific West Financial Group, Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges, Dennis J. Kelly
Arbitrator(s): Marlyn G. McClaskey, Charles E. Farnsworth, Roberta R. Jeffrey
Hearing Site: San Francisco, CA
| | $5,709,720 |
| 10-01433 | 04/04/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Kenneth Meyers
Respondent Lawyers(s): Stephen F. Boutin
Arbitrator(s): Mark S. Priver
Hearing Site: San Francisco, CA
| | |
| 11-00963 | 04/04/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Marco Rivera
Respondent Lawyers(s): Christian Krankemann
Arbitrator(s): Frank R Weaver
Hearing Site: San Francisco, CA
| | |
| 11-02752 | 04/04/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): James Kirwan, Joanne Meninger
Respondent Lawyers(s): Paul A. Lieberman
Arbitrator(s): Jarrott T. Miller, Barbara M. Anscher, Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | |
| 10-05679 | 04/03/2013 | Claimant(s): Akira Akagawa, Anna Liao, Mike Fuller, Seiko Akagawa, Fuller-Liao Family Trust
Claimant Lawyers(s): Christopher Mader
Respondent(s): Alexander Montano, Christopher Turoci, Otilia Chen Rodriguez, Shawn Crawford, Steven Goodrich, C.K. Cooper & Company.
Respondent Lawyers(s): David Jarvis, Shawn E. Cowles, Shawn Patrick Crawford
Arbitrator(s): Robert E. Thompson, Roslyn Terri Mandel, Richard Ullman
Hearing Site: San Francisco, CA
| | $687,644 |
