| 10-01622 | 11/10/2011 | Claimant(s): Donald Wilson
Claimant Lawyers(s): Kirk B. Freeman
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Jane Bradley, David J. Romanski, Dennis Markham Smith
Hearing Site: San Francisco, CA
| | |
| 09-00549 | 11/09/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Kurt Halverstadt, Sean Lehmann
Respondent Lawyers(s): Kurt Halverstadt, Sean Lehmann
Arbitrator(s): Mary Curran, Carlos Richard Mangum, Jane F. Gundermann
Hearing Site: San Francisco, CA
| | |
| 10-01403 | 11/07/2011 | Claimant(s): Alliance Semiconductor Corp.
Claimant Lawyers(s): Robert S. Chapman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jonathan K. Youngwood
Arbitrator(s): Gary H. Kahn, Herbert L. Brown, Jeffrey M. Allen
Hearing Site: San Francisco, CA
|  | $0 |
| 11-02428 | 11/04/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Irene Maxwell
Respondent Lawyers(s): Irene Faye Maxwell
Arbitrator(s): F. Conger Fawcett
Hearing Site: San Francisco, CA
| | |
| 09-05697 | 10/26/2011 | Claimant(s): Algrie Bridges
Claimant Lawyers(s): Algrie M. Bridges
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie Ronen
Arbitrator(s): Robert E. Thompson, Laura Effel, Susan B. Gans-Smith
Hearing Site: San Francisco, CA
| | |
| 11-01650 | 10/21/2011 | Claimant(s): George Shull
Claimant Lawyers(s): George E. Shull
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | $0 |
| 10-00241 | 10/18/2011 | Claimant(s): Martin Padilla, Ronald Rzesniowiecki, Sherlock Revocable Living Trust
Claimant Lawyers(s): Brian Levin
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Walter P. Hitchcock, Linda M. McCoy, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | Expungement |
| 10-05593 | 10/14/2011 | Claimant(s): Cornelius Choy
Claimant Lawyers(s): Mark Alan Goodman
Respondent(s): Wallstreet*e Financial Services.
Respondent Lawyers(s): Carlos F. Otalvaro
Arbitrator(s): Joseph H. Sturdivant, David I. Levine, William Michael Samsel
Hearing Site: San Francisco, CA
| | |
| 10-02759 | 10/14/2011 | Claimant(s): Saadeh Corporation
Claimant Lawyers(s): Richard M Osborne
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Richard L. Rubin, Gary H. Kahn, James Edward Forbes
Hearing Site: San Francisco, CA
| | $0 |
| 11-01220 | 10/13/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Aaron MacNear
Respondent Lawyers(s): Aaron Roland MacNear
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
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