23-00656 | 09/27/2024 | Claimant(s): Bing Fong Ma, Carol Tam, Charles Karnavy, Christine Tai, Craig Hansen, Hao Fang, Ilaria Turner, John Pink, Julie Chou, Shui-Man Tong, Shun-Yee Perng, Sourav Dutt, Sun Su Qin Baker, Tin-Na Kan Claimant Lawyers(s): Adam B. Wolf Respondent(s): TD Ameritrade. Respondent Lawyers(s): Adam Pollet Arbitrator(s): Darryl J. Horowitt, Grace Sarkis Noubar Seferian, Colleen Honigsberg Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206(b) |
19-00944 | 08/14/2020 | Claimant(s): G. Paul Menyharth, The Menyharth Family Tust Claimant Lawyers(s): G. Paul Menyharth Respondent(s): Sandlapper Securities Respondent Lawyers(s): Joseph A. Ingrisano Arbitrator(s): Darryl J. Horowitt, Philip H. Marmurowski, John Kenneth Creighton Hearing Site: Reno, NV
| | $0 |
18-02046 | 11/09/2018 | Claimant(s): Kathe Wilson Claimant Lawyers(s): Kathe Sorrentino Wilson Respondent(s): Edward Jones Respondent Lawyers(s): Paul Yarns Arbitrator(s): Darryl J. Horowitt Hearing Site: Reno, NV
| | |
13-02750 | 04/09/2015 | Claimant(s): Hiroshi & Ione Ishii Family Trust Dated Claimant Lawyers(s): Richard M. Kelly Respondent(s): Jason Chan, Sagepoint Financial. Respondent Lawyers(s): Kevin J. Woods Arbitrator(s): William Ziering, Darryl J. Horowitt, Jeffrey M. Allen Hearing Site: San Francisco, CA
| | $5,979 |
12-04200 | 12/01/2014 | Claimant(s): Dragon Arena, LTD. Claimant Lawyers(s): Stephen Cohen Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Paul J. Schumacher Arbitrator(s): Jane Bradley, Darryl J. Horowitt, Martin Harris Dodd Hearing Site: San Francisco, CA
| | Expungement |
12-02554 | 05/03/2013 | Claimant(s): Ariel Mendoza Claimant Lawyers(s): Ariel M. Mendoza Respondent(s): Scottrade Inc. Respondent Lawyers(s): Mack E. McCain Arbitrator(s): Darryl J. Horowitt Hearing Site: San Francisco, CA
| | $38 |
10-03368 | 04/16/2012 | Claimant(s): Edward Mercaldo, Evelyn Hall, Karen Mercaldo, William Hall, The Mercaldo Family Trust DTD 10/08/2002, The William and Evelyn Hall Trust Claimant Lawyers(s): Cary S. Lapidus Respondent(s): First Republic Securities Company Respondent Lawyers(s): Sara B. Brody Arbitrator(s): Darryl J. Horowitt, Terri Coster Boesch, Val D. Hornstein Hearing Site: San Francisco, CA
| | $0 |
09-03598 | 10/07/2011 | Claimant(s): Aurum STS Aggressive Trading LLC Claimant Lawyers(s): Jonathan Harris Respondent(s): Atef Eltoukhy, Cowen Group., SG Americas Securities, Societe Generale, Societe Generale Warrants Limited N.V. Respondent Lawyers(s): David M. Brodsky, Jeff G. Hammel, John C. Molluzzo, Michael C. Miller, Paul Serritella Arbitrator(s): Darryl J. Horowitt, Mark R. Topper, Charles Eugene Markley Hearing Site: San Francisco, CA
| | $59,900,000 |
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
| | |
08-02307 | 09/09/2009 | Claimant(s): Elsie Kelly, Raymond Kelly, Raymond O's Kelly & Elsie M. Ke U/A dtd, Raymond O's Kelly Rev Liv Trust U/A dtd Claimant Lawyers(s): Thomas A. Hargett Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Michael M. Gless Arbitrator(s): Paul H. Lamboley, Barry A. Mainardi, Darryl J. Horowitt Hearing Site: Reno, NV
| | $100,080 |