| 10-01865 | 11/24/2010 | Claimant(s): Royetta Birkhimer
Claimant Lawyers(s): Royetta Rule Birkhimer
Respondent(s): La Salle St. Securities, L.L.C., Wally Myers
Respondent Lawyers(s): David A. Genelly, Wally Myers
Arbitrator(s): Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
|  | $0 |
| 10-02084 | 11/19/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Gene Burns
Respondent Lawyers(s): Gene Howard Burns
Arbitrator(s): Nancy Hutt
Hearing Site: San Francisco, CA
| | |
| 10-00266 | 11/10/2010 | Claimant(s): Sara Reed
Claimant Lawyers(s): Irwin Stein
Respondent(s): Kimon Daifotis, Charles Schwab & Co.., Randall Merk
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | Expungement |
| 09-05229 | 11/08/2010 | Claimant(s): Chad Boeding, Divesh Makan
Claimant Lawyers(s): Rodney J. Heggy
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): Carl B. Noelke, Lester Friedman, Stanford G. Hirata
Hearing Site: San Francisco, CA
| | |
| 09-05875 | 11/08/2010 | Claimant(s): Anna Wang, Hongwei Ma
Claimant Lawyers(s): Chester Hayes, John C. Gorman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Sterling N. Frost, Jeffrey M. Allen, Robert M. Greber
Hearing Site: San Francisco, CA
| | $94,800 |
| 08-03174 | 11/05/2010 | Claimant(s): Leon Kaplan
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): David Lowi, Jeffrey Green, William Evans, III, Stone & Youngberg LLC
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Donald S. Green, James S. Martin, Stephen A. Field
Hearing Site: San Francisco, CA
| | Expungement |
| 10-01798 | 10/22/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Robert Gunning
Respondent Lawyers(s): Robert Holmes Gunning
Arbitrator(s): Martin Mandel
Hearing Site: San Francisco, CA
| | |
| 10-00302 | 10/22/2010 | Claimant(s): Gary Eveatt
Claimant Lawyers(s): Gary Lee Eveatt
Respondent(s): Shaun Verner, Tracie Sunitsch, Bancwest Investment Services.
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): John J. George
Hearing Site: San Francisco, CA
| | $0 |
| 09-04336 | 10/12/2010 | Claimant(s): Geraldine Bell
Claimant Lawyers(s): Geraldine L. Bell
Respondent(s): James Rudwall, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Alvin L. Fishman, Gary Timothy Haight, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 08-02336 | 10/11/2010 | Claimant(s): Pershing LLC
Claimant Lawyers(s): Garrett R. Wynne
Respondent(s): Douglas Green
Respondent Lawyers(s): Douglas Green
Arbitrator(s): Douglas E. DeTata, John J. Fitzpatrick, Suzanne M. Stuckwisch
Hearing Site: San Francisco, CA
| | |
