18-02071 | 11/07/2019 | Claimant(s): Rivette Family Trusts Claimant Lawyers(s): Douglas W. Oldfield Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Christopher A. Stecher Arbitrator(s): Kathryn J. Toronto, Gary Kostow, Ranjani Mohana Hearing Site: San Francisco, CA
| | $0 |
17-01530 | 08/21/2018 | Claimant(s): Mel Trust Claimant Lawyers(s): Stan Schuldiner Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Kathryn J. Toronto, William Michael Samsel, Kevin C. Coleman Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504 |
17-01333 | 06/25/2018 | Claimant(s): Tracy Corn, TTDY TOO LLC Claimant Lawyers(s): David Valicenti Respondent(s): David Traverso, Morgan Stanley & Co. Respondent Lawyers(s): John S. Worden Arbitrator(s): William Ziering, Kathryn J. Toronto, Nancy A. Yonge Hearing Site: San Francisco, CA
| | $0 |
12-01405 | 09/15/2015 | Claimant(s): Koko Flowers, Thomas E. Flowers Charitable Trust, Koko Fujita Charitable Trust dd 12/31/96, Thomas E. Flowers & Koko Fujita Trust, Thomas E. Flowers Trust dd 9/29/1999 Claimant Lawyers(s): Ann McFarland Draper Respondent(s): David Gillimore, U.S. Bancorp Investments. Respondent Lawyers(s): Abe Lampart, Elizabeth M. Hill Arbitrator(s): Kathryn J. Toronto, Robert M. Smith, Sterling N. Frost Hearing Site: San Francisco, CA
| | $0 |
13-00366 | 12/08/2014 | Claimant(s): Michael Hammel, Michael D. Hammel IRA Claimant Lawyers(s): Ryan Cook, Samuel B. Edwards Respondent(s): James Bernthal, Qi Huang, Stephen Grivas, Upinder Sharma, Obsidian Financial Group Respondent Lawyers(s): James Rhys Bernthal, Kevin Sharma, Qi Huang, Stephen Grivas, Upinder Kumar Sharma Arbitrator(s): Kathryn J. Toronto, Barbara M. Anscher, Clifford A. Threlkeld Hearing Site: San Francisco, CA
| | $182,932 |
12-02447 | 11/01/2013 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Michael West Respondent(s): Sara Reed Respondent Lawyers(s): Irwin Stein Arbitrator(s): Alexander L. Mazour, Kathryn J. Toronto, Jonathan H. Krotinger Hearing Site: San Francisco, CA
| | Expungement |
11-00679 | 08/20/2012 | Claimant(s): S.R. Takayama Claimant Lawyers(s): Lawrence R. Cock Respondent(s): Claude Ohanesian, Citigroup Global Markets., Morgan Stanley, Michael Coleman Respondent Lawyers(s): Nicholas P. Iavarone, Patrick G. King Arbitrator(s): Kathryn J. Toronto, Peter H. Daly, Anthony G. Sousa Hearing Site: San Francisco, CA
| | Expungement |
10-03090 | 04/10/2012 | Claimant(s): Denise Cooley Claimant Lawyers(s): Neyleen Beljajev Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Melissa M. Muehlfeld Arbitrator(s): Kathryn J. Toronto, Paul D. Gutierrez, Juleanne A. Thiebaut Hearing Site: San Francisco, CA
| | Expungement |
10-02526 | 01/09/2012 | Claimant(s): Fornell Enterprises. 401(K) PSP Claimant Lawyers(s): Jeffrey Erez Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): S. Lawerence Polk Arbitrator(s): Kathryn J. Toronto, Marc Kalish, Jane L. Lawless Hearing Site: Orlando, FL
| | $214,618 |
09-02994 | 03/09/2010 | Claimant(s): Mahin Vadi & Cyrus Bahram Soltani Claimant Lawyers(s): Reza Soltani Respondent(s): TD Ameritrade. Respondent Lawyers(s): John J. Vihstad Arbitrator(s): Kathryn J. Toronto, Andrew R. Epstein, Jonathan Holman Hathaway Hearing Site: San Francisco, CA
| | $0 |