| 22-00508 | 05/20/2024 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Trace Schmeltz
Respondent(s): Apex Clearing Corporation, Webull Financial LLC
Respondent Lawyers(s): Jonathan D. Neerman, Ryan K. Bakhtiari
Arbitrator(s): Mark Aaron Jones, Mary Mackey, Page R Barnes
Hearing Site: San Francisco, CA
| | |
| 10-03941 | 10/08/2012 | Claimant(s): Gerhard Rohloff, Gerhard Rohloff Living Trust dd 7/11/05
Claimant Lawyers(s): Christopher P. Mader
Respondent(s): Jeffrey Arburn, Impact Financial Management, Whitehall-Parker Securities.
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Herbert Liberman, Edwin C. Shiver, Mark Aaron Jones
Hearing Site: San Francisco, CA
|  | Expungement |
| 09-00203 | 09/14/2010 | Claimant(s): Maureen Graf, Robert Bulchis
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Ralph A. Cotton, James N. D'Orso, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
| 09-02748 | 08/23/2010 | Claimant(s): James Boyer
Claimant Lawyers(s): Rew R. Goodenow
Respondent(s): Wachovia Securities, Eric Smith
Respondent Lawyers(s): G Thomas Fleming
Arbitrator(s): Paul D. Gutierrez, Mark Aaron Jones, Patrick Owen King
Hearing Site: Reno, NV
| | $25,000 |
| 06-05130 | 02/20/2008 | Claimant(s): Clinton and Julie Howe
Claimant Lawyers(s): F. Albert Ibrahim
Respondent(s): Gregory Geis, Allstate Life Insurance Company, BancWest Investment Services., Bank of the West
Respondent Lawyers(s): Barry D. Hovis, Sonia R. Martin
Arbitrator(s): John Patrick Kelly, Nick G. Tarlson, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | $3,750 |
| 06-01699 | 11/21/2007 | Claimant(s): Mildred Bierce, Mildred E. Bierce IRA
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): John J. Fitzpatrick, William Michael Samsel, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | $250 |
| 06-03597 | 11/06/2007 | Claimant(s): Estate of Vera L. Freeberg
Claimant Lawyers(s): Jay William Jacobus
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Herb Schwartz, Linda M. McCoy, Mark Aaron Jones
Hearing Site: San Francisco, CA
| | $0 |
