| 10-05701 | 11/14/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): James Cave
Respondent Lawyers(s): Montgomery G. Griffin
Arbitrator(s): Judith M. Rosenberg, Nancy Hutt, William J. Petzel
Hearing Site: San Francisco, CA
| | |
| 12-00501 | 11/14/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Deron Kartoon
Respondent Lawyers(s): Deron A. Kartoon
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
| | |
| 11-01075 | 11/14/2012 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Francis M. Curran
Respondent(s): Dean Kajouras, Douglas Bockmiller, John Lowry, Vincent Bruno, William Johnson
Respondent Lawyers(s): Francis M. Curran, Richard Sacks, William M. Johnson
Arbitrator(s): Mitchell S. Ostwald
Hearing Site: San Francisco, CA
|  | $0 |
| 12-01549 | 11/08/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Charles S. Hoyt, IRA, SEP-IRA, Charles S. Hoyt & Nancy S. Hoyt
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Laurel Littman Gothelf, Jerold R. Babin, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | Expungement |
| 08-03388 | 10/30/2012 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Dermot Durnin
Respondent Lawyers(s): Dermot Durnin
Arbitrator(s): Douglas E. DeTata, Laurel Littman Gothelf, Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 12-01677 | 10/19/2012 | Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette P. Morales
Respondent(s): Don Miller, Donald C. Miller Cust IRA Rollover, Donald C. Miller Cust Roth Contrib, IRA
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): James N. D'Orso, Jerold R. Babin, Linda M. McCoy
Hearing Site: San Francisco, CA
| | Expungement |
| 12-00606 | 10/12/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Mera Tawfik-Oshana
Respondent Lawyers(s): Richard D. Schramm
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
| | |
| 10-03941 | 10/08/2012 | Claimant(s): Gerhard Rohloff, Gerhard Rohloff Living Trust dd 7/11/05
Claimant Lawyers(s): Christopher P. Mader
Respondent(s): Jeffrey Arburn, Impact Financial Management, Whitehall-Parker Securities.
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Herbert Liberman, Edwin C. Shiver, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | Expungement |
| 10-04112 | 09/28/2012 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Charles Strickler
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Charles E. Farnsworth, Joseph M. O'Connor, Daniel Martell
Hearing Site: San Francisco, CA
| | |
| 10-02880 | 09/25/2012 | Claimant(s): Karl Townsend & Karen F. Townsend Trust
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Walter P. Hitchcock, Herb Schwartz, William A. Husa
Hearing Site: San Francisco, CA
| | Expungement |
