| 14-03557 | 03/30/2017 | Claimant(s): Alice Caputo, Antonio Gonzalez, Belia Gonzalez, Grace Magdaluyo, Gwen Shelton, Ken Mainville, Maria Lew, Marta Eckert, Marty Grogan, Robin Logan, Terry Rhoades
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard Mccollam
Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki, William P. Keith
Arbitrator(s): Carl B. Noelke, Ronald Chun, Arocles Aguilar
Hearing Site: San Francisco, CA
|  | Expungement |
| 15-00134 | 03/24/2016 | Claimant(s): Yoav Karni
Claimant Lawyers(s): Ryan T. Dunn
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Dave Lenny
Arbitrator(s): Carl B. Noelke
Hearing Site: San Francisco, CA
| | |
| 15-00757 | 10/21/2015 | Claimant(s): Michael Green
Claimant Lawyers(s): Michael J. Green
Respondent(s): MetLife Securities Inc.
Respondent Lawyers(s): Christina Teeter
Arbitrator(s): Carl B. Noelke
Hearing Site: San Francisco, CA
| | |
| 11-03992 | 04/25/2013 | Claimant(s): Roberta Jessop, Raymond Eugene & Roberta Jessop Rev Trst
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Sheldon Schumaker, Pruneyard Financial Group., Western International Securities.
Respondent Lawyers(s): Andrew D. Castricone, Daniel S. Kubasak
Arbitrator(s): Carl B. Noelke, Pamela S. Mann, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | Expungement |
| 10-01278 | 04/23/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Kit Jory
Respondent Lawyers(s): Kit P. Jory
Arbitrator(s): Carl B. Noelke, Laurel Littman Gothelf, Elmo E. Wedderburn
Hearing Site: San Francisco, CA
| | |
| 10-01501 | 01/31/2013 | Claimant(s): Adela Pena, Connie Johnson, Karrell Wood, Lauro Pena, Philip Ashburn, William Percy
Claimant Lawyers(s): Melinda Jane Steuer, Scott R. Shewan
Respondent(s): Sagepoint Financial., Sharon Kearney
Respondent Lawyers(s): Dennis J. Kelly, Mark J. Hancock
Arbitrator(s): William Ziering, Carl B. Noelke, Mario Singleton
Hearing Site: San Francisco, CA
| | $0 |
| 09-06881 | 12/29/2010 | Claimant(s): Shizuko Matsumoto
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): George Sakamoto, Kenneth Burkett, Capital Financial Services.
Respondent Lawyers(s): Christine Dusbabek, Edward F. Donohue
Arbitrator(s): Carl B. Noelke
Hearing Site: San Francisco, CA
| | $0 |
| 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
| | |
| 07-01972 | 04/17/2009 | Claimant(s): Timothy Sullivan
Claimant Lawyers(s): Anne Marie Murphy
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): Paul J. Dubow, Carl B. Noelke, Thomas C. McNally
Hearing Site: San Francisco, CA
| | |
| 07-03539 | 06/16/2008 | Claimant(s): Bruce M. McCoy and Patti A. McCoy
Claimant Lawyers(s): Bruce M. McCoy
Respondent(s): Ryan Burch
Respondent Lawyers(s): Ryan Burch
Arbitrator(s): Carl B. Noelke
Hearing Site: San Francisco, CA
| | $6,429 |
