| 15-02864 | 08/05/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Karimah Karah
Respondent Lawyers(s): Robert Diskint
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
| | |
| 16-00121 | 01/27/2016 | Claimant(s): Barbara Padilla, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): Brent Wolf
Respondent Lawyers(s): Scott L. Metzger
Arbitrator(s): Alexandra M. Linden, Thomas D. Reese, Peter H. Daly
Hearing Site: San Francisco, CA
|  | Expungement |
| 14-01912 | 12/19/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Ben Schwartz, Simplified Employee Plan,Ben I. Schwartz, Schwartz Commercial Realty Defined Benef
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Peter H. Daly, Jeffrey Schubert, Shawn Ridgell
Hearing Site: San Francisco, CA
| | Expungement |
| 13-01974 | 10/08/2014 | Claimant(s): Nancy Battel
Claimant Lawyers(s): Nancy M. Battel
Respondent(s): Aileen Low, Edward Jones, Benetech.
Respondent Lawyers(s): Jennifer M. Porter, Rene I. Gamboa
Arbitrator(s): Thomas D. Reese, Peter H. Daly, Louis Anthony Napoli
Hearing Site: San Francisco, CA
| | Expungement |
| 12-02885 | 08/22/2014 | Claimant(s): Richard Hingley, Richard A. Hingley IRA, Richard A. Hingley 1989 Trust
Claimant Lawyers(s): Ronald E. Miller
Respondent(s): Eric Kuchel, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman, Shanna Javaheri
Arbitrator(s): Michelle Judy Brant, Peter H. Daly, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | $277,468 |
| 12-00284 | 04/02/2014 | Claimant(s): Robert Bennett, William Bennett, The Bennett Family Trust - 1989
Claimant Lawyers(s): A. Emory Wishon, Fatima Gioletti, Roger M. Schrimp
Respondent(s): Gary Reed, Jeffery Brookshire, Margaret Bennett, Mark Shoemaker, First Allied Securities., Reed, Shoemaker and Brookshire.
Respondent Lawyers(s): Dirk B. Paloutzian, Jeffrey Compton
Arbitrator(s): Peter H. Daly, Nancy A. Yonge, Zachary Scott Rigdon
Hearing Site: San Francisco, CA
| | Expungement |
| 12-03942 | 04/24/2013 | Claimant(s): Marc Bachman
Claimant Lawyers(s): Marc L. Bachman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Peter H. Daly
Hearing Site: Honolulu, HI
| | $0 |
| 09-05573 | 04/03/2013 | Claimant(s): Norma Byer
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Roger T. Verhage, Peter H. Daly, Joseph Berzok
Hearing Site: Reno, NV
| | Expungement |
| 12-03227 | 03/21/2013 | Claimant(s): Eliseo Alatorre
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Lester Friedman, Peter H. Daly, Kevin C. Coleman
Hearing Site: San Francisco, CA
| | Expungement |
| 11-01992 | 12/17/2012 | Claimant(s): Thomas Meagher
Claimant Lawyers(s): James L. Parks
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): David J. Reis
Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Douglas J. Pavese
Hearing Site: San Francisco, CA
| | |
