| 07-03055 | 12/29/2015 | Claimant(s): Ruthe Gomez, Advisory Financial Consultants.
Claimant Lawyers(s): Christopher Mader
Respondent(s): Locke Haven, TradeRight Securities.
Respondent Lawyers(s): Becky Townsend, Michael Rukojzo
Arbitrator(s): Charles E. Farnsworth, David J. Romanski, Michael Craig Butterworth
Hearing Site: San Francisco, CA
| | |
| 10-05466 | 04/05/2013 | Claimant(s): Alice Soto, Betty Lee, Blair Brooksby, Curtis Alling, Curtis Sylvester-Jose, Curtis Webb, Darryl Morrison, David Campell, David Moy, Deborah Keyston, Evelyn Delcid, Francesca Brown, George Keyston, James Chew, James Weidinger, Jean Chew, Jeannette Chan, Jerry Rubelt, Kin Leong, Kirk Theis, et al
Claimant Lawyers(s): Matthew K. Edling
Respondent(s): Pacific West Financial Group, Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges, Dennis J. Kelly
Arbitrator(s): Marlyn G. McClaskey, Charles E. Farnsworth, Roberta R. Jeffrey
Hearing Site: San Francisco, CA
|  | $5,709,720 |
| 10-04112 | 09/28/2012 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Charles Strickler
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Charles E. Farnsworth, Joseph M. O'Connor, Daniel Martell
Hearing Site: San Francisco, CA
| | |
| 09-03935 | 05/27/2010 | Claimant(s): John Jones
Claimant Lawyers(s): Matthew K. Edling
Respondent(s): Wells Fargo Investments, Evan Sanchez, Robert Lenz
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Charles E. Farnsworth, Jonathan Holman Hathaway, Homer L. Davis
Hearing Site: San Francisco, CA
| | $140,250 |
| 08-00818 | 11/12/2009 | Claimant(s): Susan Ure
Claimant Lawyers(s): Susan Ure
Respondent(s): ING Financial Advisers, ING Life Insurance and Annuity Company
Respondent Lawyers(s): Michael E. Wilbur
Arbitrator(s): Mitchell S. Ostwald, Charles E. Farnsworth, Sharon Truluck Maier
Hearing Site: San Francisco, CA
| | |
| 08-03169 | 11/04/2009 | Claimant(s): Larry Martinez
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Arthur Aldatz, James Gallo, Jeffrey Greeney, Sean Harrison, Thomas Rubin, Troy Rasmusen, Westcap Securities.
Respondent Lawyers(s): Arthur Jess Aldatz, James Eugene Gallo, Thomas Seth Rubin
Arbitrator(s): William Ziering, Charles E. Farnsworth, Homer L. Davis
Hearing Site: San Francisco, CA
| | $87,760 |
