| 22-00898 | 04/25/2024 | Claimant(s): Margaret van Krieken, Roeland van Krieken
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Herb Schwartz, Philip Aaron Tymon, Dennis Markham Smith
Hearing Site: San Francisco, CA
|  | Expungement |
| 19-01670 | 03/03/2021 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin MacAvoy
Respondent(s): Mildred Patubo
Respondent Lawyers(s): Benjamin Winograd
Arbitrator(s): Dennis Markham Smith, Alden Sharp Adkins, Eduardo Barocio
Hearing Site: San Francisco, CA
| | |
| 16-02231 | 12/21/2017 | Claimant(s): Shawn Scheuer
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Morgan Stanley, Steven Anderson
Respondent Lawyers(s): John S. Worden
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Dennis Markham Smith
Hearing Site: Reno, NV
| | $663,898 |
| 13-00296 | 03/10/2014 | Claimant(s): Suzanne Vierra IRA, Virra Broshear Enterprises Defined Benef
Claimant Lawyers(s): Charles A. Tweedy, Joseph W. Scalia
Respondent(s): Gene Williams, Walnut Street Securities.
Respondent Lawyers(s): Louis Castoria
Arbitrator(s): Lester Friedman, James N. D'Orso, Dennis Markham Smith
Hearing Site: San Francisco, CA
| | Expungement |
| 10-01622 | 11/10/2011 | Claimant(s): Donald Wilson
Claimant Lawyers(s): Kirk B. Freeman
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Jane Bradley, David J. Romanski, Dennis Markham Smith
Hearing Site: San Francisco, CA
| | |
| 05-00937 | 11/27/2007 | Claimant(s): Li Li
Claimant Lawyers(s): Li Li
Respondent(s): Alex Shaw, White Pacific Securities.
Respondent Lawyers(s): Robert T. Sullwold
Arbitrator(s): Robin Lynn Berry, Alan P. Fraser, Dennis Markham Smith
Hearing Site: San Francisco, CA
| | $0 |
