| 10-01188 | 02/14/2011 | Claimant(s): Valerie Charlton Char & Devron H. Char
Claimant Lawyers(s): Devron H. Char
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
|  | $425 |
| 09-06168 | 02/10/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Peter Bell
Respondent Lawyers(s): Peter Wright Bell
Arbitrator(s): Michael M. Hachigian
Hearing Site: San Francisco, CA
| | |
| 09-06251 | 02/03/2011 | Claimant(s): Albert Chen
Claimant Lawyers(s): John Balestriere
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Daniel E. Shaw
Arbitrator(s): Edwin C. Shiver, Gregory M. Scanlon, M. Scott Donahey
Hearing Site: San Francisco, CA
| | |
| 10-03654 | 01/31/2011 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): Joel Archer
Respondent Lawyers(s): Joel Earl Archer
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 08-01388 | 01/31/2011 | Claimant(s): Deborah Herman, Frederick Herman
Claimant Lawyers(s): Frederick Herman
Respondent(s): Colleen Langs, Charles Schwab & Co.., Marcia Novick
Respondent Lawyers(s): Garrett Wynne
Arbitrator(s): Laurel Littman Gothelf, Thomas H. O'Connor, Sterling N. Frost
Hearing Site: San Francisco, CA
| | Expungement |
| 10-00243 | 01/28/2011 | Claimant(s): Michael Patnode
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Jerry Anderson, E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Linda M. McCoy
Hearing Site: San Francisco, CA
| | Expungement |
| 10-00773 | 01/18/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Kenneth Shaffer
Respondent Lawyers(s): Kenneth C. Shaffer
Arbitrator(s): Marlyn G. McClaskey, Laurel Littman Gothelf, Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 09-04369 | 01/10/2011 | Claimant(s): Eric Besag, Eric T. Besag Living Trust
Claimant Lawyers(s): Mitchell S. Ostwald
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Robert M. Lubin
Hearing Site: San Francisco, CA
| | $0 |
| 09-05030 | 12/30/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Gregory Braver
Respondent Lawyers(s): Gregory Ernest Braver
Arbitrator(s): James R. Dickson
Hearing Site: San Francisco, CA
| | |
| 09-02736 | 12/30/2010 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Allan N. Taffet
Respondent(s): Enable Capital Management, Jefferies & Company., Enable Growth Partners
Respondent Lawyers(s): Alyson M. Weiss, Michael J. Baker
Arbitrator(s): Jonathan H. Krotinger, Mary Margaret Bush, Mary Kay Higgins Crockett
Hearing Site: San Francisco, CA
| | $0 |
