| 18-04007 | 11/07/2019 | Claimant(s): Waltraud Greathouse
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Kenneth Barroga, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Gary S. DeWeese
Hearing Site: San Francisco, CA
|  | $160,097 |
| 18-00641 | 10/03/2018 | Claimant(s): Emmanuel Obel
Claimant Lawyers(s): Emmanuel Obel
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Alexander
Arbitrator(s): Helen Marinak Blohm, Gary S. DeWeese, Erik John Renga
Hearing Site: San Francisco, CA
| | Expungement |
| 15-01322 | 02/09/2018 | Claimant(s): Winnie Fang
Claimant Lawyers(s): William W. Palmer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Laurel Littman Gothelf, Barbara M. Anscher, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $0 |
| 14-00307 | 09/08/2016 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Michael Zent, Nicolas Tabellion
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Isidoro Berkman, Gary S. DeWeese, Mark Edward Hoaglin
Hearing Site: San Francisco, CA
| | |
| 15-02683 | 08/25/2016 | Claimant(s): MacKenzie Realty Capital.
Claimant Lawyers(s): Antony Buchignani
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): William Ziering, Gary S. DeWeese, Javier Chavez
Hearing Site: San Francisco, CA
| | $0 |
| 14-03414 | 02/25/2016 | Claimant(s): Stephen Slocum
Claimant Lawyers(s): Stephen J. Slocum
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Herb Schwartz, Dean J. Dietrich, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $0 |
| 11-01803 | 01/07/2015 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Leslie Wolfson
Respondent Lawyers(s): David Sternberg
Arbitrator(s): Herb Schwartz, Gary S. DeWeese, Edward J. Harkins
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
| | |
| 10-05028 | 09/30/2011 | Claimant(s): William Dale Kelly and Joan Hull Trust
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Lawrence Miller, Investment Security Corporation
Respondent Lawyers(s): Lawrence Benjamin Miller, Lee David Lubin
Arbitrator(s): Ferdinand Schoch, Gary S. DeWeese, Richard Ullman
Hearing Site: San Francisco, CA
| | $0 |
| 05-04291 | 09/24/2010 | Claimant(s): Elaine Lambert, Winston Lambert, Dr. Elaine Lambert Employee CPP PL, Winston Lambert Invest. Employee MPP, Winston Lambert Investments Emp. PS PL
Claimant Lawyers(s): B. Ray Zoll, Reuben L. Nocos
Respondent(s): Wedbush Securities Inc., Christopher Short
Respondent Lawyers(s): Charles B LaChaussee, Christopher G. Short
Arbitrator(s): Donald S. Duerson, Jonathan H. Krotinger, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $0 |
