| 20-01539 | 02/17/2023 | Claimant(s): Shannon Marquardt
Claimant Lawyers(s): Robert D. Loventhal
Respondent(s): First Republic Securities Company
Respondent Lawyers(s): Teresa Thong
Arbitrator(s): Lester Friedman, John J. Fitzpatrick, David I. Levine
Hearing Site: San Francisco, CA
|  | Dismissed by Rule 12212 and 12511 |
| 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 |
| 20-01759 | 08/31/2021 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): George Guerra
Respondent(s): Amy Zwaan
Respondent Lawyers(s): James H. Wilkins
Arbitrator(s): Andrew R. Epstein, Lester Friedman, John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 19-03679 | 03/10/2021 | Claimant(s): Kyra Kizirian
Claimant Lawyers(s): Kyra L Kizirian
Respondent(s): LPL Financial LLC, Eric Young, Keith Schmidt
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Lester Friedman, Jonathan H. Krotinger, Wendi Lee Eckardt
Hearing Site: San Francisco, CA
| | |
| 16-02640 | 10/11/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kevin J. Woods
Respondent(s): Terry Bailey
Respondent Lawyers(s): Terry Lee Bailey
Arbitrator(s): Lester Friedman, Alexandra M. Linden, Robert Sachs Mandelson
Hearing Site: San Francisco, CA
| | |
| 15-01751 | 06/19/2017 | Claimant(s): Dalas Gundersen
Claimant Lawyers(s): John R. Garner
Respondent(s): Edward Jones
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Lester Friedman, Robert Sachs Mandelson, John Burritt McArthur
Hearing Site: San Francisco, CA
| | |
| 15-00233 | 01/22/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): John Gannon
Respondent Lawyers(s): John F. Gannon
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
| | |
| 15-00851 | 12/31/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Jeffrey Rehling
Respondent Lawyers(s): Jeffrey Allen Rehling
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
| | |
| 13-01135 | 07/22/2014 | Claimant(s): Janelle Hansen, Janelle Hansen Trust
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): John Ryan Gustafson
Arbitrator(s): Lester Friedman, Philip Aaron Tymon, Ronald J. Vernali
Hearing Site: San Francisco, CA
| | Expungement |
| 13-00296 | 03/10/2014 | Claimant(s): Suzanne Vierra IRA, Virra Broshear Enterprises Defined Benef
Claimant Lawyers(s): Charles A. Tweedy, Joseph W. Scalia
Respondent(s): Gene Williams, Walnut Street Securities.
Respondent Lawyers(s): Louis Castoria
Arbitrator(s): Lester Friedman, James N. D'Orso, Dennis Markham Smith
Hearing Site: San Francisco, CA
| | Expungement |
