19-02991 | 12/17/2021 | Claimant(s): Sandra Kim Claimant Lawyers(s): Brent D. Meyer Respondent(s): Anthony Bonafede, James Lamont, Joe Miller, Scott Heising, Lamont Financial Services Respondent Lawyers(s): Edward Zusman, Michael P. Ring Arbitrator(s): Helen Marinak Blohm, Lester Friedman, Mary H. Evans Hearing Site: San Francisco, CA
| | Expungement |
20-01189 | 01/07/2021 | Claimant(s): Valeria Blanchard Claimant Lawyers(s): Lauren B. Koch Respondent(s): First Financial Equity Corporation Respondent Lawyers(s): Jason L. Cassidy Arbitrator(s): David I. Levine, Mary H. Evans, Arocles Aguilar Hearing Site: Reno, NV
| | Dismissed by Rules 12200, 12201, and 12504 |
19-03631 | 07/29/2020 | Claimant(s): Morgan Stanley Claimant Lawyers(s): Tracy L. Gerber Respondent(s): Jon Sanchez Respondent Lawyers(s): Jon Gregory Sanchez Arbitrator(s): Daniel M. Yamshon, Nancy Hutt, Mary H. Evans Hearing Site: Reno, NV
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16-03359 | 09/11/2019 | Claimant(s): Thomas Carney Claimant Lawyers(s): William R. Lindsley Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Kevin J. Woods Arbitrator(s): Dean J. Dietrich, Mary H. Evans, Ann Elizabeth Sarli Hearing Site: San Francisco, CA
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15-00528 | 03/09/2016 | Claimant(s): Dennis Dai Claimant Lawyers(s): Anna M. Rossi Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): James C. Browning Arbitrator(s): Sterling N. Frost, Mary H. Evans, John Burritt McArthur Hearing Site: San Francisco, CA
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08-05032 | 11/29/2012 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Timothy N. Will Respondent(s): Thomas Sullivan Respondent Lawyers(s): Stephen F. Boutin Arbitrator(s): Mary H. Evans, Peter Anthony Sigal Hearing Site: San Francisco, CA
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10-03000 | 02/17/2011 | Claimant(s): Edith Robertson, Glen Robertson, John Sorensen, Sheri Lewis-Sorensen, Susan Robertson Claimant Lawyers(s): Matthew K. Edling Respondent(s): Securities America. Respondent Lawyers(s): Bryan M. Ward Arbitrator(s): John J. Flynn, Thomas D. Reese, Mary H. Evans Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504 |
05-05018 | 12/08/2008 | Claimant(s): Jason Laney Claimant Lawyers(s): Scott R. Shewan Respondent(s): Wachovia Securities Respondent Lawyers(s): Christohper A. Stecher Arbitrator(s): Juleanne A. Thiebaut, Mary H. Evans Hearing Site: San Francisco, CA
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08-00841 | 11/19/2008 | Claimant(s): Emily Martin Revocable Living Trust Claimant Lawyers(s): Brett Alcala Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Joseph L. Calabrese Arbitrator(s): Thomas C. McNally, David R. Finch, Mary H. Evans Hearing Site: San Francisco, CA
| | $105,550 |