| 13-02640 | 10/28/2014 | Claimant(s): Robert Branscombe
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Ronald L. Cheney, B. J. Krintzman, Philip S. Wellman
Hearing Site: Manchester, NH
|  | Expungement |
| 13-00342 | 09/30/2014 | Claimant(s): Cynthia Siegle Trust, DTD 6/26/1990
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Susan J. Alexander, Ralph L. Jacobson, Anne M. Lawlor Goyette
Hearing Site: San Francisco, CA
| | Expungement |
| 13-00910 | 08/19/2014 | Claimant(s): Claudia Goetz, Ralph Goetz
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Erin Botsford, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Brian A. Carlis, David C. Franceski
Arbitrator(s): Barth Satuloff, Richard W. Epstein, Joseph Benalt
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-00415 | 08/07/2014 | Claimant(s): Elizabeth Steinlauf, ENS Family Trust U/D/T 12/27/11, Elizabeth N. Steinlauf Trust
Claimant Lawyers(s): Jahan K. Manasseh, Steven D. Toskes
Respondent(s): Timothy Neuville
Respondent Lawyers(s): Connie M. Anderson
Arbitrator(s): Victoria E. Johnson, Judith Porter, Karen L. Gold
Hearing Site: Los Angeles, CA
| | $0 |
| 13-02477 | 05/14/2014 | Claimant(s): Gregory Niemann Living Trust, Leila Niemann Living Trust, The Niemann Family Revocable Trust
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Salvatore A. Sciortino, Judith Porter, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-04509 | 10/31/2013 | Claimant(s): Gale A. Pfund and Margery S. Pfund
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Richard B. Bullock, Kenneth W. Gosliner, Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | Expungement |
| 10-05079 | 08/12/2013 | Claimant(s): Estate of Wilma S. Yount
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Stephen P. Hoffman, Thomas Doyle Blum, Frank V. Tutone
Hearing Site: Charlotte, NC
| | Expungement |
| 10-02438 | 04/22/2013 | Claimant(s): Benjamin Vinton, Benjamin Vinton III Irrevocable Trust, Yvonne J. Vinton Residential Trust, Yvonne J. Vinton Trust DTD 2/16/98
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Caryl S. Bernstein, Bernard Herman, Charles C. Fox
Hearing Site: Wilmington, DE
| | Expungement |
| 11-00687 | 01/16/2013 | Claimant(s): Kenneth M. Mahoney & Linda Mahoney, TIC
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Marc S. Piven, Myron E. Levenson, Robert H. Loevin
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-02176 | 12/20/2012 | Claimant(s): Robert Barash
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Willard Pugh, Dawson James Asset Management., Dawson James Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Paul Joseph McIntyre, Peter A. Portley, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | Expungement |
