| 13-02150 | 07/15/2015 | Claimant(s): Henry Mora, Lionel Gonzalez, Michele Lewis
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Thomas Fleming
Arbitrator(s): Jeffrey M. Allen, Debra Brothers Self, Byron L. Dare
Hearing Site: San Francisco, CA
|  | $1,401,700 |
| 13-02750 | 04/09/2015 | Claimant(s): Hiroshi & Ione Ishii Family Trust Dated
Claimant Lawyers(s): Richard M. Kelly
Respondent(s): Jason Chan, Sagepoint Financial.
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): William Ziering, Darryl J. Horowitt, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $5,979 |
| 13-02844 | 07/15/2014 | Claimant(s): Susquehanna International Group, LLP, Susquehanna Financial Group
Claimant Lawyers(s): Brian Sopinsky
Respondent(s): Xiaozheng Liu
Respondent Lawyers(s): Xiaozheng Liu
Arbitrator(s): Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | |
| 12-00167 | 03/04/2014 | Claimant(s): Sehat Sutardja, Weili Dai, Sutardja Family Partners
Claimant Lawyers(s): David Elsberg, John Quinn
Respondent(s): Bradley Defoor, Goldman, Sachs and Company, Graham Brandt
Respondent Lawyers(s): David L. Zifkin, David R. Boyd, Jonathan D. Schiller
Arbitrator(s): Thomas J. LoSavio, Jonathan Holman Hathaway, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $0 |
| 10-05772 | 06/06/2012 | Claimant(s): Dani Eder IRA Account
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): David N. Luder
Arbitrator(s): Linda B. Kelly, Jeffrey M. Allen, Donald Dreyfus
Hearing Site: Birmingham, AL
| | $0 |
| 10-01978 | 05/04/2012 | Claimant(s): Jessica Andrews-Kunst
Claimant Lawyers(s): Jerry B. Abbott
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Jeffrey M. Allen, Ralph L. Jacobson, Robert Mallin Hirsch
Hearing Site: San Francisco, CA
| | $115,000 |
| 10-04192 | 03/29/2012 | Claimant(s): Annie Zeigon, James Zeigon
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): First Republic Securities Company
Respondent Lawyers(s): Sara B. Brody
Arbitrator(s): Jeffrey M. Allen, Norman S. Nayfach, Edward J. Harkins
Hearing Site: San Francisco, CA
| | $870,632 |
| 11-02027 | 12/27/2011 | Claimant(s): Jyotsna Varma
Claimant Lawyers(s): Christopher S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Jeffrey M. Allen
Hearing Site: New Orleans, LA
| | $0 |
| 11-01886 | 11/30/2011 | Claimant(s): Norma Guest
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Jeffrey M. Allen
Hearing Site: Birmingham, AL
| | $0 |
| 10-01403 | 11/07/2011 | Claimant(s): Alliance Semiconductor Corp.
Claimant Lawyers(s): Robert S. Chapman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jonathan K. Youngwood
Arbitrator(s): Gary H. Kahn, Herbert L. Brown, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $0 |
