| 11-04662 | 12/19/2012 | Claimant(s): Baolin Gao
Claimant Lawyers(s): Danning Jiang
Respondent(s): Simon Lin, White Pacific Securities.
Respondent Lawyers(s): Robert Angle, Simon Siao Roun Lin
Arbitrator(s): William Michael Samsel
Hearing Site: San Francisco, CA
|  | $17,690 |
| 11-01992 | 12/17/2012 | Claimant(s): Thomas Meagher
Claimant Lawyers(s): James L. Parks
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): David J. Reis
Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Douglas J. Pavese
Hearing Site: San Francisco, CA
| | |
| 12-01432 | 12/14/2012 | Claimant(s): Mark Ramian
Claimant Lawyers(s): Andrew Keligian
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Autumn Crowell
Arbitrator(s): Carol Ann Jensen
Hearing Site: San Francisco, CA
| | $213 |
| 11-03423 | 12/12/2012 | Claimant(s): Tappan Merrick
Claimant Lawyers(s): David Chun
Respondent(s): Dean McGill, Ameriprise Financial Services., Robert Stern
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Laurel Littman Gothelf, William Michael Samsel, Roger Gilbert
Hearing Site: San Francisco, CA
| | |
| 11-02413 | 12/11/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Richard Chan
Respondent Lawyers(s): Richard Lee Chan
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 11-03847 | 12/03/2012 | Claimant(s): Casey Securities
Claimant Lawyers(s): Michael P. Guta
Respondent(s): Gloria Casey, Richard Casey, Casey Family Trust, 1996
Respondent Lawyers(s): Alvin L. Fishman
Arbitrator(s): Mary Curran, William J. Petzel, Ronald Chun
Hearing Site: San Francisco, CA
| | |
| 11-04512 | 11/30/2012 | Claimant(s): Bonnie Halleran, Kirt Willard
Claimant Lawyers(s): Kirt Willard
Respondent(s): James Parenti, James Williams
Respondent Lawyers(s): James A. Stankowski
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | $0 |
| 08-05032 | 11/29/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Thomas Sullivan
Respondent Lawyers(s): Stephen F. Boutin
Arbitrator(s): Mary H. Evans, Peter Anthony Sigal
Hearing Site: San Francisco, CA
| | |
| 12-01670 | 11/27/2012 | Claimant(s): Kimon Peter Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Ashley Nobili UFLUTMA, Corinne Nobili UFLUTMA, Raul Nobili Trust U/A dtd 11/02/99
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Sterling N. Frost, James R. Dickson, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01548 | 11/16/2012 | Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette P. Morales
Respondent(s): Daniel J. Lancaster, Jr. IRA
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Helen Marinak Blohm, Jeffrey Schubert, Shawn Ridgell
Hearing Site: San Francisco, CA
| | Expungement |
