| 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 |
| 13-00949 | 03/14/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Benjamin W. White
Respondent(s): Adorean Boleancu
Respondent Lawyers(s): Adorean Boleancu
Arbitrator(s): Jane Bradley
Hearing Site: San Francisco, CA
| | |
| 13-00258 | 02/19/2014 | Claimant(s): Dolores Smallen, Martin Smallen, The Smallen Family Trust U/A dated 5/31/
Claimant Lawyers(s): Christopher Gray
Respondent(s): Shawn Davis, Berthel, Fisher & Company Financial Svcs
Respondent Lawyers(s): Louis H. Castoria
Arbitrator(s): Jane Bradley, Jonathan Holman Hathaway, David I. Levine
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 11-00694 | 04/22/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jeffrey N. Goldberg
Respondent(s): Henrique Berger
Respondent Lawyers(s): Henrique Berger
Arbitrator(s): Jane Bradley, Susan B. Gans-Smith, Zachary Scott Rigdon
Hearing Site: San Francisco, CA
| | |
| 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
| | |
| 08-03904 | 04/20/2010 | Claimant(s): Kathleen Pomeroy, The Marital Deduction Trust, The Pomeroy Bypass Trust, The Pomeroy Family Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Jane Bradley, William A. Husa, Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $768,944 |
| 06-02011 | 06/04/2008 | Claimant(s): John G., and Marcia Y. Wang
Claimant Lawyers(s): John G. Wang
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Yuchia Lin
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Nicholas J. Caputo, Jane Bradley, Nick G. Tarlson
Hearing Site: San Francisco, CA
| | $0 |
