| 12-00954 | 03/21/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Suzanne Chen, Golden State Advisors
Respondent Lawyers(s): David H. Schwartz
Arbitrator(s): Alvin L. Fishman, Dean J. Dietrich, John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 12-00111 | 01/29/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 11-02985 | 11/21/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): David H.S. Commins
Respondent(s): Mark Davidson
Respondent Lawyers(s): Mark Colby Davidson
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 08-02336 | 10/11/2010 | Claimant(s): Pershing LLC
Claimant Lawyers(s): Garrett R. Wynne
Respondent(s): Douglas Green
Respondent Lawyers(s): Douglas Green
Arbitrator(s): Douglas E. DeTata, John J. Fitzpatrick, Suzanne M. Stuckwisch
Hearing Site: San Francisco, CA
| | |
| 09-05230 | 09/15/2010 | Claimant(s): The Beaty Revocable Survivor's Trust
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Jonathan Holman Hathaway, John J. Fitzpatrick, Robert Mallin Hirsch
Hearing Site: San Francisco, CA
|  | $0 |
| 09-00408 | 04/23/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Xin Li
Respondent Lawyers(s): Albert L. Boasberg
Arbitrator(s): John Patrick Kelly, John J. Fitzpatrick, James Conrad Riewerts
Hearing Site: San Francisco, CA
| | |
| 08-01079 | 03/11/2010 | Claimant(s): Eric Bunker
Claimant Lawyers(s): Eric W. Bunker
Respondent(s): Jason Seale
Respondent Lawyers(s): Steven M. Sherman
Arbitrator(s): Ralph A. Cotton, John J. Fitzpatrick, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | |
| 09-00167 | 09/28/2009 | Claimant(s): Betty Wilson
Claimant Lawyers(s): Betty Lou Wilson
Respondent(s): Dennis Goldstrand
Respondent Lawyers(s): Dennis Joseph Goldstrand
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 08-03537 | 03/25/2009 | Claimant(s): Elliot Burstein
Claimant Lawyers(s): Elliot L. Burstein
Respondent(s): UBS Financial Services Inc., Sharon Ford
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | $1,585 |
| 07-00258 | 05/28/2008 | Claimant(s): Brian G. Herr Rollover IRA, Sheryl L. Herr Rollover IRA
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Laif Meidell
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Cheryl R. Kershner, John J. Fitzpatrick, Alan P. Fraser
Hearing Site: Reno, NV
| | $0 |
