| 11-00679 | 08/20/2012 | Claimant(s): S.R. Takayama
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): Claude Ohanesian, Citigroup Global Markets., Morgan Stanley, Michael Coleman
Respondent Lawyers(s): Nicholas P. Iavarone, Patrick G. King
Arbitrator(s): Kathryn J. Toronto, Peter H. Daly, Anthony G. Sousa
Hearing Site: San Francisco, CA
|  | Expungement |
| 12-00301 | 08/08/2012 | Claimant(s): Ann Wilson
Claimant Lawyers(s): Ann Pulford Wilson
Respondent(s): Chase Investment Services Corp., Geetika Mehrotra
Respondent Lawyers(s): Erika Imre Schindler
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | Expungement |
| 12-00393 | 08/01/2012 | Claimant(s): Ramin Modiri, Tahmineh Modiri
Claimant Lawyers(s): Ramin Modiri
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): James S. Martin
Hearing Site: San Francisco, CA
| | $0 |
| 11-01483 | 07/20/2012 | Claimant(s): Kurt Pham
Claimant Lawyers(s): Kurt Huy Pham
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Mary Curran, Lester Friedman, Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 11-01906 | 07/20/2012 | Claimant(s): Mary-Louise Shaheen
Claimant Lawyers(s): Mary-Louise Shaheen
Respondent(s): Morgan Stanley, Paul Witte
Respondent Lawyers(s): Kenneth J. Haim, Raul Sanchez
Arbitrator(s): Carlos Richard Mangum, Herbert Liberman, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 12-00066 | 07/19/2012 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Stephen Grant
Respondent Lawyers(s): Stephen Duncan Grant
Arbitrator(s): Terry M Lloyd
Hearing Site: San Francisco, CA
| | |
| 11-04380 | 07/13/2012 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Elyse W. Grant
Respondent(s): Anissa Cooke
Respondent Lawyers(s): Anissa Lynette Cooke
Arbitrator(s): Herbert Liberman
Hearing Site: San Francisco, CA
| | |
| 11-00885 | 07/10/2012 | Claimant(s): Alfred Richardson, Alfred W. Richardson IRA
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Mark Sumsion, Scott Garbutt, Stonehurst Securities.
Respondent Lawyers(s): Phillip Borup, Wm. Kelly Nash
Arbitrator(s): Michelle Judy Brant, William W. Haskell, Arocles Aguilar
Hearing Site: San Francisco, CA
| | Expungement |
| 10-03003 | 06/29/2012 | Claimant(s): Carol Marini
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): James Parker, Marcelle Long, Portfolio Advisors Alliance.
Respondent Lawyers(s): James Ronald Parker, Kerri Wasserman, Marcelle Long
Arbitrator(s): Richard B. Bullock, Kenneth W. Gosliner, John C McGourty
Hearing Site: San Francisco, CA
| | $254,700 |
| 10-03885 | 06/28/2012 | Claimant(s): Jeffrey Colflesh, Lora Colflesh, Jeffrey Colflesh IRA, Lora Colflesh IRA, Colflesh Trusts
Claimant Lawyers(s): James R. Walsh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stacy Grant
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Richard L. Rubin, Jerold R. Babin, Mark R. Topper
Hearing Site: San Francisco, CA
| | Expungement |
