| 12-00954 | 03/21/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Suzanne Chen, Golden State Advisors
Respondent Lawyers(s): David H. Schwartz
Arbitrator(s): Alvin L. Fishman, Dean J. Dietrich, John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 12-03869 | 02/27/2013 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Justin Dodson, J.P. King Advisors.
Respondent Lawyers(s): Neil Gerstner
Arbitrator(s): Alvin L. Fishman, Michael J. Fish, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | |
| 09-04961 | 02/22/2012 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): William Zurn
Respondent Lawyers(s): Jeffrey L. Malek
Arbitrator(s): Alvin L. Fishman, Amy Seltzer, Carol Ann Jensen
Hearing Site: San Francisco, CA
| | |
| 09-02892 | 02/18/2011 | Claimant(s): Keith Cohn, Keith Cohn Rollover IRA Trust
Claimant Lawyers(s): Philip Borowsky
Respondent(s): AllianceBernstein L.P., Sanford C. Bernstein & Co., LC
Respondent Lawyers(s): Tommaso Bencivenga
Arbitrator(s): Alvin L. Fishman, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
|  | $553,333 |
| 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 |
| 09-04146 | 05/19/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Gordon Lewis
Respondent Lawyers(s): Gordon Patrick Lewis
Arbitrator(s): Mary Curran, Alvin L. Fishman, E. Duane Stephens
Hearing Site: San Francisco, CA
| | |
| 08-00728 | 01/02/2009 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Amon Allahyari
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Alvin L. Fishman, Walter P. Hitchcock, Robert E. Thompson
Hearing Site: San Francisco, CA
| | |
| 07-00689 | 04/25/2008 | Claimant(s): Marjorie Smith, Bert A. Smith IRA, Bert A. Smith 1988 Trust DTD 9/29/1988
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Associated Securities Corporation
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Alvin L. Fishman, Walter J. Huntley, Nancy A. Yonge
Hearing Site: Reno, NV
| | $0 |
