| 11-01158 | 09/25/2012 | Claimant(s): Jamal Abdul-Kabir, Joyce Hanson
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): James N. D'Orso, Thomas D. Reese, Fern M. Laethem
Hearing Site: San Francisco, CA
|  | Expungement |
| 12-01001 | 09/25/2012 | Claimant(s): Yazheng Song
Claimant Lawyers(s): Yazheng Song
Respondent(s): Genesis Securities, Wang Investment Associates.
Respondent Lawyers(s): Dennis W. Maloney, William Yeh
Arbitrator(s): Reed H. Bement
Hearing Site: San Francisco, CA
| | $175 |
| 12-01083 | 09/19/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): MBO Insurance Brokers. PSP
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Helen Marinak Blohm, Sterling N. Frost, James R. Dickson
Hearing Site: San Francisco, CA
| | Expungement |
| 10-03269 | 09/10/2012 | Claimant(s): Kenneth Lemings
Claimant Lawyers(s): Walter J. Schmidt
Respondent(s): Donald Treloar, Randall Anderson
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Donald H. Korn
Hearing Site: San Francisco, CA
| | Expungement |
| 11-03510 | 09/07/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Christopher Obenchain
Respondent Lawyers(s): Christopher Todd Obenchain
Arbitrator(s): Ralph L. Jacobson
Hearing Site: San Francisco, CA
| | |
| 11-00325 | 08/30/2012 | Claimant(s): Martin Brookes
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Ivar Jones, Matthew Dolan, Ameritas Investment Corp.
Respondent Lawyers(s): Kavya Mohankumar
Arbitrator(s): Frank R Weaver, David R. Finch, Mark R. Topper
Hearing Site: San Francisco, CA
| | Expungement |
| 11-02568 | 08/28/2012 | Claimant(s): Herman Shine, Marianne Shine
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Wells Fargo Investments, Patrick Briggs, Ray Seewer, Stephen Seewer
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): James N. D'Orso, Edwin C. Shiver, Herbert L. Brown
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01323 | 08/28/2012 | Claimant(s): Simon Shortman, Simon P. Shortman and Rebecca W. Shortma
Claimant Lawyers(s): Rose M. Schindler
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Walter P. Hitchcock
Hearing Site: San Francisco, CA
| | $0 |
| 12-00517 | 08/23/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jason Warner
Respondent(s): John Bostaph
Respondent Lawyers(s): John Edward Bostaph
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | |
| 12-00774 | 08/21/2012 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Babak G. Yousefzadeh
Respondent(s): Dennis Quan
Respondent Lawyers(s): Dennis Christopher Quan
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | |
