| 21-02748 | 05/25/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Kevin J Woods
Respondent(s): Eric Demarcus
Respondent Lawyers(s): Neda Ataie
Arbitrator(s): Peter H. Daly, Val D. Hornstein, Richard Ullman
Hearing Site: San Francisco, CA
| | |
| 20-02213 | 12/30/2022 | Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney Financing LL
Claimant Lawyers(s): Shannon L McDougald
Respondent(s): Neil Gavande
Respondent Lawyers(s): Bryan T. Forman
Arbitrator(s): Linda P. Drucker, Val D. Hornstein, Thomas Arthur Cohen
Hearing Site: San Francisco, CA
| | |
| 22-00134 | 11/30/2022 | Claimant(s): Douglas Ziegelmann
Claimant Lawyers(s): Douglas Ziegelmann
Respondent(s): Tornado
Respondent Lawyers(s): Stephen Murphy
Arbitrator(s): Val D. Hornstein
Hearing Site: Bismarck, ND
|  | $0 |
| 18-00243 | 01/25/2019 | Claimant(s): Catherine Talman, Roger Talman, 1990 Talman Family Living Trust
Claimant Lawyers(s): Leslie Schwaebe Akins
Respondent(s): Wells Fargo Clearing Services, Timothy Cusick
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Thaddeus J. Tecza, Mary C. Davis, Val D. Hornstein
Hearing Site: Salt Lake City, UT
| | Expungement |
| 16-03686 | 07/31/2018 | Claimant(s): Claire Scalzo, Louis Scalzo, Louis Scalzo Family Marital DED Trust, Scalzo Family Bypass Trust, Scalzo Survivors Trust
Claimant Lawyers(s): Jeffrey Pederson, Richard A. Nervig
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): David H. S. Commins, George King, Val D. Hornstein
Hearing Site: San Francisco, CA
| | Expungement |
| 16-00590 | 04/19/2017 | Claimant(s): Christopher Klinck, Edward Banning, Katherine Stevenson, Margaret Shea, R. Jenkins, Robert Jenkins, Stutts Farms., Estate of James Stutts, Edward M. Banning Revocable Trust dated, Katherine Stevenson Living Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Source Capital Group.
Respondent Lawyers(s): David Harris
Arbitrator(s): Larry T. Coady, Gary L. Vezina, Val D. Hornstein
Hearing Site: Portland, OR
| | $504,946 |
| 13-00865 | 06/23/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Benjamin W. White
Respondent(s): Daniel Cairns
Respondent Lawyers(s): Montgomery G. Griffin
Arbitrator(s): Homer L. Davis, Val D. Hornstein, Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 12-01876 | 10/23/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): Steven Lavorando
Respondent Lawyers(s): Steven Mark Lavorando
Arbitrator(s): Mary Margaret Bush, Val D. Hornstein, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | |
| 13-00119 | 03/27/2014 | Claimant(s): David de Groot
Claimant Lawyers(s): Ross Edouard Mitchell
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Val D. Hornstein
Hearing Site: San Francisco, CA
| | $11,023 |
| 10-03368 | 04/16/2012 | Claimant(s): Edward Mercaldo, Evelyn Hall, Karen Mercaldo, William Hall, The Mercaldo Family Trust DTD 10/08/2002, The William and Evelyn Hall Trust
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): First Republic Securities Company
Respondent Lawyers(s): Sara B. Brody
Arbitrator(s): Darryl J. Horowitt, Terri Coster Boesch, Val D. Hornstein
Hearing Site: San Francisco, CA
| | $0 |
