17-02860 | 03/25/2019 | Claimant(s): George Lawlor Claimant Lawyers(s): Paul W. Thomas Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jacqueline R. Meyers Arbitrator(s): William H. Morley, Jon Martino, Susan Romano Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
17-01678 | 03/14/2019 | Claimant(s): C.Billington S.T. for J.Billington Trust Claimant Lawyers(s): Paul W. Thomas Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): P. Burke Esq. Arbitrator(s): Anita Rae Shapiro, Noel Harvey Applebaum, Steven H. Gentry Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
17-03316 | 02/04/2019 | Claimant(s): Nicholas McClanahan Claimant Lawyers(s): Paul W. Thomas Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kenneth I. Schacter Arbitrator(s): Ray J. Grzebielski, Gerald F DeNotto, Robert S. Grabemann Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
17-02377 | 09/26/2018 | Claimant(s): Keith Yun, Nancy Yun Claimant Lawyers(s): Paul W. Thomas Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Judy Louie Arbitrator(s): David J. Anderson, Arthur T. Berggren, Michael M. Hachigian Hearing Site: Los Angeles, CA
| | Expungement |
14-03557 | 03/30/2017 | Claimant(s): Alice Caputo, Antonio Gonzalez, Belia Gonzalez, Grace Magdaluyo, Gwen Shelton, Ken Mainville, Maria Lew, Marta Eckert, Marty Grogan, Robin Logan, Terry Rhoades Claimant Lawyers(s): Frank F. Sommers Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard Mccollam Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki, William P. Keith Arbitrator(s): Carl B. Noelke, Ronald Chun, Arocles Aguilar Hearing Site: San Francisco, CA
| | Expungement |
16-00677 | 03/27/2017 | Claimant(s): Ruby Maddox Claimant Lawyers(s): Bruce D. Oakes Respondent(s): Royal Alliance Associates., Kathleen Tarr Respondent Lawyers(s): G. Thomas Fleming, Paul W. Thomas Arbitrator(s): David J. Anderson Hearing Site: Los Angeles, CA
| | Expungement |
13-02523 | 12/01/2016 | Claimant(s): Edward Signaigo Claimant Lawyers(s): Paul W. Thomas Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Respondent Lawyers(s): Gina Shlaferman, Tracy L. Gerber Arbitrator(s): James D. Knotter, M. LaRae Bakerink, Randy R. Maher Hearing Site: San Diego, CA
| | |
14-01816 | 10/04/2016 | Claimant(s): Barbara Padillia, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers Respondent(s): Royal Alliance Associates., Kathleen Tarr, Richard McCollam Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki Arbitrator(s): Isidoro Berkman, Peter H. Daly, Mario Singleton Hearing Site: San Francisco, CA
| | $1,933,000 |
14-01724 | 04/26/2016 | Claimant(s): Evelyn Johnson, Feliciano Dizon, Frank DiGrande, Harriett Eubanks, Marina Bautista, Trilby DiGrande Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers Respondent(s): Brent Wolf, Royal Alliance Associates., Kathleen Tarr, Richard McCollam Respondent Lawyers(s): Paul W. Thomas, Scott L. Metzger, Theodore J. Sawicki Arbitrator(s): Joseph H. Sturdivant, Amy Seltzer, Jeffrey M. Allen Hearing Site: San Francisco, CA
| | $91,908 |
13-03299 | 07/22/2015 | Claimant(s): Carol Saunders Claimant Lawyers(s): Paul W. Thomas Respondent(s): Daniel Haskard, Morgan Stanley, Susan Dandridge Respondent Lawyers(s): Debra (Volland) Achkire Arbitrator(s): James D. Knotter Hearing Site: San Diego, CA
| | Expungement |