| 10-04017 | 06/09/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Jess Perez
Respondent Lawyers(s): Jess Perez
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 09-05181 | 06/07/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Johnathan E. Mansfield
Respondent(s): Kurt Halverstadt, Sean Lehmann
Respondent Lawyers(s): Kurt Halverstadt, Sean Lehmann
Arbitrator(s): F. Conger Fawcett, Cheryl R. Kershner, Linda P. Drucker
Hearing Site: San Francisco, CA
| | |
| 10-04053 | 06/06/2011 | Claimant(s): Chanht Reatrey KEO
Claimant Lawyers(s): Chanht Reatrey Keo
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Thomas J. LoSavio
Hearing Site: San Francisco, CA
|  | $0 |
| 10-05331 | 06/03/2011 | Claimant(s): Andrew Duckett
Claimant Lawyers(s): Andrew James Duckett
Respondent(s): LPL Financial Corporation
Respondent Lawyers(s): James D. Vannah
Arbitrator(s): Walter P. Hitchcock
Hearing Site: San Francisco, CA
| | |
| 10-03433 | 06/01/2011 | Claimant(s): Ken Rubin
Claimant Lawyers(s): Ken Rubin
Respondent(s): Joan Perry, Take Charge Financial!
Respondent Lawyers(s): Joan Perry
Arbitrator(s): Dean J. Dietrich, Jonathan H. Krotinger, David C. Tateosian
Hearing Site: San Francisco, CA
| | |
| 10-01145 | 05/27/2011 | Claimant(s): Jason H. Solomon and Janet Solomon Trust
Claimant Lawyers(s): Mitchell S. Ostwald
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Paul F. Faberman, Peter H. Daly, Herbert L. Brown
Hearing Site: San Francisco, CA
| | $428,800 |
| 11-00131 | 05/26/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Larry J. Lipka
Respondent(s): Michael Moutrey
Respondent Lawyers(s): Michael Vincent Moutrey
Arbitrator(s): Nancy Hutt
Hearing Site: San Francisco, CA
| | |
| 11-00514 | 05/26/2011 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Garrett R. Wynne
Respondent(s): Robert Garff
Respondent Lawyers(s): Robert Niel Garff
Arbitrator(s): Nancy Hutt
Hearing Site: San Francisco, CA
| | |
| 09-06644 | 05/20/2011 | Claimant(s): G. Arnold Lawton, G. Arnold Lawton Trust dtd 3/11/04
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Wells Fargo Investments, Jack Wong
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Walter P. Hitchcock, Thomas H. O'Connor, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $0 |
| 10-02380 | 05/16/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Michael Gibson
Respondent Lawyers(s): Matthew B. Baum
Arbitrator(s): Martin J. Kotowski
Hearing Site: San Francisco, CA
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