| 10-05267 | 06/28/2012 | Claimant(s): Stacie Stallsworth-Bassi
Claimant Lawyers(s): Stacie Stallsworth-Bassi
Respondent(s): Jeffery Graumlich, Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Alexandra M. Linden, Paul D. Gutierrez, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
|  | Expungement |
| 10-04117 | 06/25/2012 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Gregory Weiss
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Nancy Hutt, Gary H. Kahn, Edward J. Harkins
Hearing Site: San Francisco, CA
| | |
| 11-00633 | 06/25/2012 | Claimant(s): Ryan Romines
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Joseph Gavigan
Respondent Lawyers(s): Joseph T. Gavigan
Arbitrator(s): Reed H. Bement, William Ziering, Douglas J. Pavese
Hearing Site: San Francisco, CA
| | |
| 09-04863 | 06/18/2012 | Claimant(s): The Lawrence W. Davis Revocable Trust
Claimant Lawyers(s): Janice L. Davis
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Vanessa M. Hoffman
Arbitrator(s): Thomas W. Borden, Walter P. Hitchcock, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 10-04271 | 06/15/2012 | Claimant(s): Ricardo Rangel
Claimant Lawyers(s): Marie Mirch
Respondent(s): Chase Investment Services Corp., John Quinn, Pamela Taylor, Robert Garrett, Russell Fletcher, Scott Mccullah
Respondent Lawyers(s): Jeffrey A. Wortman
Arbitrator(s): Joseph M. O'Connor, Carol Ann Jensen, William Kenneth Wesley
Hearing Site: San Francisco, CA
| | |
| 11-00494 | 05/29/2012 | Claimant(s): Barnard Lewis Family Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Chase Investment Services Corp., WAMU Investments.
Respondent Lawyers(s): Erika Imre Schindler, Joseph S. Simms
Arbitrator(s): Herbert Liberman, Amy Seltzer, Paul D. Gutierrez
Hearing Site: San Francisco, CA
| | Expungement |
| 11-01399 | 05/11/2012 | Claimant(s): Duane Nack
Claimant Lawyers(s): Duane Arlen Nack
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Kristina L. Carlson
Arbitrator(s): Thomas C. McNally, Nancy Hutt, Daniel J. Lind
Hearing Site: San Francisco, CA
| | |
| 11-01834 | 05/09/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Kyle Roulet
Respondent Lawyers(s): Kyle Daniel Roulet
Arbitrator(s): Douglas W. Oldfield
Hearing Site: San Francisco, CA
| | |
| 10-01978 | 05/04/2012 | Claimant(s): Jessica Andrews-Kunst
Claimant Lawyers(s): Jerry B. Abbott
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Jeffrey M. Allen, Ralph L. Jacobson, Robert Mallin Hirsch
Hearing Site: San Francisco, CA
| | $115,000 |
| 11-01249 | 05/01/2012 | Claimant(s): William Garvey
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Mark Powell, Lighthouse Capital Corporation
Respondent Lawyers(s): Jonathan Schwartz, Robert John Zamecki
Arbitrator(s): William Ziering, Mary Margaret Bush, Stewart H. Foreman
Hearing Site: San Francisco, CA
| | $100,000 |
