17-02406 | 08/07/2018 | Claimant(s): Alan Verkman Claimant Lawyers(s): Alan S. Verkman Respondent(s): Morgan Stanley Respondent Lawyers(s): Nicholas Y. Lin Arbitrator(s): Kevin C. Coleman Hearing Site: San Francisco, CA
| | $3,485 |
16-02314 | 11/22/2017 | Claimant(s): Robert Leech, Robert W. Leech IRA, The Leech Family Trust Claimant Lawyers(s): Tom Leech Respondent(s): Wells Fargo Advisors, Morgan Stanley Respondent Lawyers(s): Lesley V. Tepper, Michael Naccarato Arbitrator(s): John J. Flynn, Kevin C. Coleman, Clifford A. Threlkeld Hearing Site: San Francisco, CA
| | Expungement |
16-03579 | 11/14/2017 | Claimant(s): Kenneth Meyers Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Advisors, Robert W. Baird & Co. Incorporated Respondent Lawyers(s): Steven L. Satter, Wendy L. Schueller Arbitrator(s): Kevin C. Coleman Hearing Site: Reno, NV
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17-00238 | 10/11/2017 | Claimant(s): James Files Claimant Lawyers(s): Dochtor Kennedy Respondent(s): QA3 Financial Corp. Respondent Lawyers(s): Stephen K. Wild Arbitrator(s): Kevin C. Coleman Hearing Site: San Francisco, CA
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16-01107 | 11/18/2016 | Claimant(s): Arlys Dean, Darrel Dean, Darrel A. Dean Revocable Living Trust Claimant Lawyers(s): Ross David Carmel Respondent(s): Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Cory D. Olson Arbitrator(s): Herbert Liberman, Peter M Brabbee, Kevin C. Coleman Hearing Site: Reno, NV
| | Dismissed by Rule 12206 |
13-00043 | 03/03/2015 | Claimant(s): Arnold Levins Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Morgan Stanley Respondent Lawyers(s): Melissa M. Muehlfeld Arbitrator(s): Daniel M. Yamshon, Barbara M. Anscher, Kevin C. Coleman Hearing Site: San Francisco, CA
| | $0 |
13-02801 | 11/18/2014 | Claimant(s): Carolyn Erskine Claimant Lawyers(s): Christopher C. Cooke Respondent(s): LPL Financial LLC, Michael Allard, National Planning Corporation Respondent Lawyers(s): Jon D. Kaplon, Louie H. Castoria, Michael T. Regan Arbitrator(s): William Ziering, Thomas J. LoSavio, Kevin C. Coleman Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
12-03227 | 03/21/2013 | Claimant(s): Eliseo Alatorre Claimant Lawyers(s): Jacob H. Zamansky Respondent(s): Unionbanc Investment Services Respondent Lawyers(s): G. Thomas Fleming Arbitrator(s): Lester Friedman, Peter H. Daly, Kevin C. Coleman Hearing Site: San Francisco, CA
| | Expungement |
10-01847 | 08/26/2011 | Claimant(s): George Putnam Claimant Lawyers(s): Justin T. Berger Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Christopher A. Stecher Arbitrator(s): Frank R Weaver, Michael J. Fish, Kevin C. Coleman Hearing Site: San Francisco, CA
| | $127,944 |