| 10-01876 | 08/08/2011 | Claimant(s): Lehman Brothers Holdings.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Bryon Botsford
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Susan B. Gans-Smith
Hearing Site: San Francisco, CA
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| 10-01700 | 08/04/2011 | Claimant(s): R. Emigh, R. Kent Emigh Trust dd 1/31/1986
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wedbush Securities Inc., Lisa Gallo
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Thomas C. McNally, Ralph A. Cotton, Louis Anthony Napoli
Hearing Site: San Francisco, CA
|  | $0 |
| 09-01516 | 07/19/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Ronald Blevins
Respondent Lawyers(s): Ronald Todd Blevins
Arbitrator(s): Robert E. Thompson, Mark R. Topper, James Conrad Riewerts
Hearing Site: San Francisco, CA
| | |
| 10-03203 | 07/18/2011 | Claimant(s): Kevin Schaefer
Claimant Lawyers(s): Jason A. Pollack
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): James A. Goodman
Arbitrator(s): Carlos Richard Mangum, Peter H. Daly, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | |
| 10-04813 | 07/15/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Thomas Debono
Respondent Lawyers(s): Thomas J. Debono
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 09-00562 | 07/12/2011 | Claimant(s): Stan Schuldiner
Claimant Lawyers(s): Stan Schuldiner
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): James J. Dougherty
Arbitrator(s): Harry B. Endsley, James S. Martin, Walter F. Dillaway
Hearing Site: San Francisco, CA
| | $0 |
| 09-04144 | 06/29/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Vince Dimaggio
Respondent Lawyers(s): Daria Dub Carlson
Arbitrator(s): Gary A. Hooker, Sean B. Meehan, James G. Gillivan
Hearing Site: San Francisco, CA
| | |
| 10-02818 | 06/27/2011 | Claimant(s): Jane Wiborg, Lloyd Wiborg, Jane S. Wiborg Trust dtd 7/28/86
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): John K. Swearingen, Kenneth W. Gosliner, James Edward Forbes
Hearing Site: San Francisco, CA
| | $376,658 |
| 10-01568 | 06/23/2011 | Claimant(s): Stephen Kelleher
Claimant Lawyers(s): David H.S. Commins
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John W. Stenson
Arbitrator(s): Ferdinand Schoch, Walter P. Hitchcock, James R. Dickson
Hearing Site: San Francisco, CA
| | |
| 09-03809 | 06/16/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jason Warner
Respondent(s): Ciro Cavazos
Respondent Lawyers(s): Ciro Gilbert Cavazos
Arbitrator(s): Herb Schwartz, Elmo E. Wedderburn, Ralph L. Jacobson
Hearing Site: San Francisco, CA
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