| 17-00087 | 11/24/2017 | Claimant(s): Michael Rom
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Philip Steele, First Financial Services LLC
Respondent Lawyers(s): Jeffrey L. Fillerup
Arbitrator(s): Douglas W. Oldfield, Barbara M. Anscher, Jeffrey Scott Winaker
Hearing Site: San Francisco, CA
| | |
| 13-00509 | 10/30/2014 | Claimant(s): Alex Vitale
Claimant Lawyers(s): Howard E. King
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Douglas W. Oldfield, Pamela S. Mann, Louis Anthony Napoli
Hearing Site: San Francisco, CA
| | |
| 08-04812 | 06/13/2013 | Claimant(s): Gary Cattich
Claimant Lawyers(s): Gary Cattich
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Jarrott T. Miller, Douglas W. Oldfield, Edwin C. Shiver
Hearing Site: San Francisco, CA
| | |
| 11-01834 | 05/09/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Kyle Roulet
Respondent Lawyers(s): Kyle Daniel Roulet
Arbitrator(s): Douglas W. Oldfield
Hearing Site: San Francisco, CA
| | |
| 06-03212 | 12/13/2007 | Claimant(s): Lucille Small
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Citigroup Global Markets., Richard Olsen, Sara Farner, William Blick
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Douglas W. Oldfield, Allan Brotsky, David C. Tateosian
Hearing Site: San Francisco, CA
|  | Stipulated Award and Expungement |
