| 10-04235 | 11/14/2011 | Claimant(s): Catherine Pinkas
Claimant Lawyers(s): John Fu
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Frank R Weaver, Dean J. Dietrich, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | |
| 10-01847 | 08/26/2011 | Claimant(s): George Putnam
Claimant Lawyers(s): Justin T. Berger
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Frank R Weaver, Michael J. Fish, Kevin C. Coleman
Hearing Site: San Francisco, CA
|  | $127,944 |
| 09-06788 | 04/21/2011 | Claimant(s): Spade Chan
Claimant Lawyers(s): Mark P. Meuser
Respondent(s): Bruce Bordelon, Ameriprise Financial Services., Johnny Ng
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Frank R Weaver, Nancy Hutt, Barbara M. Anscher
Hearing Site: San Francisco, CA
| | |
| 10-03998 | 03/15/2011 | Claimant(s): Marshall Rev Living Trust A
Claimant Lawyers(s): William H. Marshall
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Frank R Weaver
Hearing Site: San Francisco, CA
| | $15,425 |
| 10-02474 | 03/01/2011 | Claimant(s): Raifman Family Rev Intel Trust
Claimant Lawyers(s): Brian G. Isaacson
Respondent(s): Wachovia Securities, George Gordon
Respondent Lawyers(s): David A. Picon, Ronald E. Wood
Arbitrator(s): Mary Curran, Frank R Weaver, Nancy Hutt
Hearing Site: San Francisco, CA
| | $0 |
| 09-02703 | 06/03/2010 | Claimant(s): William Tolson, William E. Tolson 2006 Rev Inter-Vivos T
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Howard Pearlman, Wachovia Capital Markets
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Frank R Weaver, Robert M. Lubin, Alan Richard Carlisle
Hearing Site: San Francisco, CA
| | Expungement |
| 09-03470 | 04/21/2010 | Claimant(s): Honolulu Professional SVCS LTD U/A
Claimant Lawyers(s): Margery S. Bronster
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Frank R Weaver, Carol M. Egan, Theodore G. Ray
Hearing Site: Honolulu, HI
| | $45,000 |
| 06-04508 | 03/10/2008 | Claimant(s): David McLaren, Jean-Rene Menand, Pierre Willard, DML Sierra Vista Investments LLC, Gailen Partners, JRM San Antonio Investments LLC, JRM San Antonio Investors., JRM San Antonio Partners, PW Gailen Alto Investors., PW Gailen Investments, RJP Investment Partners, RJP Los Altos Investments LLC, Sierra Vista Partners, Ramesh and Jaya Padmanabhan
Claimant Lawyers(s): W. Ralph Canada
Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc., Rita Rothstein, Morgan Stanley Capital Group
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Frank R Weaver, Homer M. Dalbey, Hadden Wing Roth
Hearing Site: San Francisco, CA
| | Stipulated Award and Expungement |
