| 15-01634 | 03/16/2016 | Claimant(s): Michael L. Kennedy 1998 Trust
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Nicole Lomibao
Arbitrator(s): John J. Flynn, Robert H. Cornell, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
|  | Dismissed by Rule 12206 |
| 12-01876 | 10/23/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): Steven Lavorando
Respondent Lawyers(s): Steven Mark Lavorando
Arbitrator(s): Mary Margaret Bush, Val D. Hornstein, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | |
| 12-00893 | 06/13/2013 | Claimant(s): Maxine Pope, Michael Pope, The Maxine O. Pope Trust Dated 04-05-90, The Michael Pope Trust Dated 06-09-08
Claimant Lawyers(s): Michael Hume, Thomas C. Bradley
Respondent(s): Wells Fargo Advisors, John Carlsen
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): Thomas D. Reese, Mary Margaret Bush, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | Expungement |
| 11-03992 | 04/25/2013 | Claimant(s): Roberta Jessop, Raymond Eugene & Roberta Jessop Rev Trst
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Sheldon Schumaker, Pruneyard Financial Group., Western International Securities.
Respondent Lawyers(s): Andrew D. Castricone, Daniel S. Kubasak
Arbitrator(s): Carl B. Noelke, Pamela S. Mann, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | Expungement |
| 08-01531 | 05/21/2010 | Claimant(s): Melvin McDonald, Vincent Scola
Claimant Lawyers(s): Katharine Livingston
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Martin Mandel, Darryl J. Horowitt, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | |
| 07-00293 | 04/09/2008 | Claimant(s): Dale V. Wessel IRA, JoAnn D. Wessel IRA
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Laif Meidell, Associated Securities Corp.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Alexander L. Mazour, David D. Stein, Marilyn Burrill O'Toole
Hearing Site: Reno, NV
| | $0 |
