| 11-03828 | 03/25/2013 | Claimant(s): K & M Dattani Irrevocable Trust
Claimant Lawyers(s): Andrew H. Wilson
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Herb Schwartz, Ralph A. Cotton, Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
|  | Expungement |
| 12-00954 | 03/21/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Suzanne Chen, Golden State Advisors
Respondent Lawyers(s): David H. Schwartz
Arbitrator(s): Alvin L. Fishman, Dean J. Dietrich, John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 12-03227 | 03/21/2013 | Claimant(s): Eliseo Alatorre
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Lester Friedman, Peter H. Daly, Kevin C. Coleman
Hearing Site: San Francisco, CA
| | Expungement |
| 12-02476 | 03/20/2013 | Claimant(s): Gregory Lorenz
Claimant Lawyers(s): Gregory M. Lorenz
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | Expungement |
| 12-02563 | 03/18/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Lisa Seran
Respondent Lawyers(s): Scott Greenwood-Meinert
Arbitrator(s): Edwin C. Shiver
Hearing Site: San Francisco, CA
| | |
| 12-03208 | 03/14/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Donald Treloar
Respondent Lawyers(s): Donald Thomas Treloar
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 11-01801 | 03/08/2013 | Claimant(s): Humberto Salinas
Claimant Lawyers(s): Thomas J. Meagher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Daniel M. Yamshon, Robert Mallin Hirsch, Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | |
| 12-03869 | 02/27/2013 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Justin Dodson, J.P. King Advisors.
Respondent Lawyers(s): Neil Gerstner
Arbitrator(s): Alvin L. Fishman, Michael J. Fish, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | |
| 12-01119 | 02/25/2013 | Claimant(s): Cindi L. Grauer, Robert W. Grauer
Claimant Lawyers(s): Robert W. Grauer
Respondent(s): Delphi Wealth Advisors
Respondent Lawyers(s): Steven P. Grager
Arbitrator(s): Richard L. Rubin, Donald S. Green, John B. Weingart
Hearing Site: San Francisco, CA
| | $109,855 |
| 09-06832 | 02/21/2013 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Clay Evans
Respondent Lawyers(s): Clay H. Evans
Arbitrator(s): Michael J. Fish
Hearing Site: San Francisco, CA
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