13-02801 | 11/18/2014 | Claimant(s): Carolyn Erskine Claimant Lawyers(s): Christopher C. Cooke Respondent(s): LPL Financial LLC, Michael Allard, National Planning Corporation Respondent Lawyers(s): Jon D. Kaplon, Louie H. Castoria, Michael T. Regan Arbitrator(s): William Ziering, Thomas J. LoSavio, Kevin C. Coleman Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
12-00167 | 03/04/2014 | Claimant(s): Sehat Sutardja, Weili Dai, Sutardja Family Partners Claimant Lawyers(s): David Elsberg, John Quinn Respondent(s): Bradley Defoor, Goldman, Sachs and Company, Graham Brandt Respondent Lawyers(s): David L. Zifkin, David R. Boyd, Jonathan D. Schiller Arbitrator(s): Thomas J. LoSavio, Jonathan Holman Hathaway, Jeffrey M. Allen Hearing Site: San Francisco, CA
| | $0 |
11-03812 | 02/07/2014 | Claimant(s): Thomas Boster Claimant Lawyers(s): Teresa A. Cunningham Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Nathan R. Jaskowiak Arbitrator(s): Thomas J. LoSavio, Nancy Hutt, Edwin C. Shiver Hearing Site: San Francisco, CA
| | |
10-03886 | 02/02/2012 | Claimant(s): P. Anne Giannini Claimant Lawyers(s): Timothy A. Canning Respondent(s): David McClurg, Joseph Niederkorn, Raymond Lent, Tracy McClurg, McClurg Capital Corporation, The McClurg Family Trust Respondent Lawyers(s): Edward S. Zusman Arbitrator(s): Thomas J. LoSavio, Michelle Judy Brant, James D. Murray Hearing Site: San Francisco, CA
| | $23,000 |
10-04053 | 06/06/2011 | Claimant(s): Chanht Reatrey KEO Claimant Lawyers(s): Chanht Reatrey Keo Respondent(s): Scottrade Inc. Respondent Lawyers(s): Niels P. Murphy Arbitrator(s): Thomas J. LoSavio Hearing Site: San Francisco, CA
| | $0 |
09-00901 | 07/23/2009 | Claimant(s): The Arnell Family Trust by Arthur & Lo Claimant Lawyers(s): Arthur F. Arnell Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Richard A. Karoly Arbitrator(s): Thomas J. LoSavio Hearing Site: San Francisco, CA
| | $0 |