| 11-03627 | 01/30/2013 | Claimant(s): Alessandrina Deprizio, Carmela DiMare, Florence DiMare, Wilton Manor, Ltd.
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Securities America., Thomas Reynolds
Respondent Lawyers(s): Chad Weaver, Sandor Grossman
Arbitrator(s): Sheldon I. Saitlin, Woodrow A. Sutton, Theresa A Gillerlain
Hearing Site: Chicago, IL
|  | Expungement |
| 11-03423 | 12/12/2012 | Claimant(s): Tappan Merrick
Claimant Lawyers(s): David Chun
Respondent(s): Dean McGill, Ameriprise Financial Services., Robert Stern
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Laurel Littman Gothelf, William Michael Samsel, Roger Gilbert
Hearing Site: San Francisco, CA
| | |
| 10-04475 | 03/02/2012 | Claimant(s): Lanfive Associates, A Partnership, Lani McKinley Trust u/t/d 8/28/2007
Claimant Lawyers(s): Barry P. King
Respondent(s): Stifel, Nicolaus & Co.., Manuel Lozano, Raymond Reed
Respondent Lawyers(s): Chad Weaver, James C. Browning
Arbitrator(s): Robert W. Vernon, Robert Bruce MacDonald, Suzanne Viau Chamberlain
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-01650 | 10/21/2011 | Claimant(s): George Shull
Claimant Lawyers(s): George E. Shull
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | $0 |
| 10-02986 | 01/19/2011 | Claimant(s): Mary Cascio
Claimant Lawyers(s): Mary P. Cascio
Respondent(s): Eric Bond, National Planning Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $4,720 |
| 09-01873 | 04/23/2010 | Claimant(s): Ronald Morenz
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Ronald Edward Hibbing
Hearing Site: Phoenix, AZ
| | $0 |
| 09-00405 | 01/29/2010 | Claimant(s): J. Benefield, Mary Benefield, The Benefield Family Trust
Claimant Lawyers(s): Martin B. Greenbaum, Ron Miller
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Vincent J. Natoli, Ronald F. Rybandt, Steven J. Feldman
Hearing Site: Los Angeles, CA
| | $366,840 |
| 08-01386 | 01/25/2010 | Claimant(s): Dale Beaman, Gina Beaman, D and G Momentum
Claimant Lawyers(s): Curt R. Craton
Respondent(s): Ameriprise Financial Services., Walter Coulter
Respondent Lawyers(s): Chad Weaver, Walter Lee Coulter
Arbitrator(s): Martin Mandel, Robert W. Vernon
Hearing Site: Los Angeles, CA
| | $135,037 |
| 08-04006 | 08/26/2009 | Claimant(s): Peak Securities Corporation
Claimant Lawyers(s): Chad Weaver
Respondent(s): Gregg Mulholland, Bruin Industries.
Respondent Lawyers(s): Irving M. Einhorn
Arbitrator(s): Elliott David Finkel, Dennis A. Torres, Randall N. Kirk
Hearing Site: Los Angeles, CA
| | $0 |
| 08-02728 | 03/11/2009 | Claimant(s): Robert Rabkin
Claimant Lawyers(s): Robert Rabkin
Respondent(s): Dieter Thurow
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Thomas C. McNally
Hearing Site: San Francisco, CA
| | $0 |
