| 17-02469 | 07/30/2018 | Claimant(s): Erik Weir
Claimant Lawyers(s): Armin Sarabi
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Ralph A. Cotton
Hearing Site: San Francisco, CA
| | |
| 16-02012 | 07/02/2018 | Claimant(s): Alberto Fogel, Rita Bemaras De Mizrachi
Claimant Lawyers(s): Brian Levin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): William Ziering, Ralph A. Cotton, Daniel M. Yamshon
Hearing Site: San Francisco, CA
|  | Expungement |
| 15-02707 | 12/22/2017 | Claimant(s): Bonnie Bolle, Robin Richardson, Estate of Byron Bolle
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Carlos Miranda, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Ralph A. Cotton, Philip Ho, Robert M. Smith
Hearing Site: San Francisco, CA
| | $685,580 |
| 16-01365 | 09/26/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kevin J. Woods
Respondent(s): Mario Mendoza
Respondent Lawyers(s): Melinda Jane Steuer
Arbitrator(s): Ralph A. Cotton
Hearing Site: San Francisco, CA
| | |
| 15-02314 | 07/28/2017 | Claimant(s): Taylor Reed
Claimant Lawyers(s): Donald C. Potter
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Matthew Klafter
Arbitrator(s): Herb Schwartz, Ralph A. Cotton, Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 17-00568 | 07/13/2017 | Claimant(s): Sara Smith
Claimant Lawyers(s): Sara J. Smith
Respondent(s): Rigoberto Pena-Rankin
Respondent Lawyers(s): Rigoberto Javier Pena-Rankin
Arbitrator(s): Ralph A. Cotton
Hearing Site: San Francisco, CA
| | $0 |
| 13-03274 | 03/31/2015 | Claimant(s): Roberta Franklin, The Downey Brand, LLP Employment Retirem, Roberta Lee Franklin IRA
Claimant Lawyers(s): Roberta Lee Franklin
Respondent(s): Edward Stadjuhar, Sagepoint Financial., Strategic Wealth Advisors Group
Respondent Lawyers(s): Gregory T. Fayard, Kasumi L. Takahashi
Arbitrator(s): Ralph A. Cotton, Michael J. Fish, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | Expungement |
| 11-04623 | 08/07/2014 | Claimant(s): Justin Miller
Claimant Lawyers(s): Marie Mirch
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Ralph A. Cotton, Bradley C. Mitchell, Carol Ann Jensen
Hearing Site: San Francisco, CA
| | |
| 11-03828 | 03/25/2013 | Claimant(s): K & M Dattani Irrevocable Trust
Claimant Lawyers(s): Andrew H. Wilson
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Herb Schwartz, Ralph A. Cotton, Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
| | Expungement |
| 10-01700 | 08/04/2011 | Claimant(s): R. Emigh, R. Kent Emigh Trust dd 1/31/1986
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Wedbush Securities Inc., Lisa Gallo
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Thomas C. McNally, Ralph A. Cotton, Louis Anthony Napoli
Hearing Site: San Francisco, CA
| | $0 |
