| 13-00728 | 07/11/2014 | Claimant(s): Michael Barker
Claimant Lawyers(s): Eric C. Kastner
Respondent(s): Morgan Keegan & Company., Raymond, James & Associates.
Respondent Lawyers(s): Julie Taylor, Nathan R. Jaskowiak
Arbitrator(s): Shawn Ridgell, Donald Ervin Cope, Michael Joseph Desmond
Hearing Site: San Francisco, CA
| | |
| 13-00429 | 01/30/2014 | Claimant(s): Patrick Van Hien
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): PCBB Capital Markets.
Respondent Lawyers(s): Daryl S. Landy
Arbitrator(s): Helen Marinak Blohm, Carlos Richard Mangum, Shawn Ridgell
Hearing Site: San Francisco, CA
| | |
| 12-01548 | 11/16/2012 | Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette P. Morales
Respondent(s): Daniel J. Lancaster, Jr. IRA
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Helen Marinak Blohm, Jeffrey Schubert, Shawn Ridgell
Hearing Site: San Francisco, CA
| | Expungement |
| 09-01190 | 09/15/2010 | Claimant(s): Lynell Miller Jones, IRA Rollover
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Jerold R. Babin, Anthony G. Sousa, Shawn Ridgell
Hearing Site: San Francisco, CA
|  | $0 |
| 08-02495 | 09/08/2008 | Claimant(s): Smith Barney Shearson.
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Jennifer Davis, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Geoffrey Gordon-Creed, Paul Vincent Simpson
Arbitrator(s): Donald S. Duerson, Walter J. Huntley, Shawn Ridgell
Hearing Site: San Francisco, CA
| | |
