| 19-01689 | 11/19/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Ryan Ashton
Respondent Lawyers(s): Ryan Manning Ashton
Arbitrator(s): Evan A. Gould
Hearing Site: San Diego, CA
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| 17-03385 | 11/06/2018 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Leandro Palencia
Respondent(s): Mark Riley
Respondent Lawyers(s): Mark Christopher Riley
Arbitrator(s): Evan A. Gould
Hearing Site: San Diego, CA
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| 15-02863 | 08/10/2017 | Claimant(s): Hilltop Securities Inc.
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Andrew Harvey, Brett Levinson, Carla Osbourne, Harvey Frank, Stifel, Nicolaus & Co.., Wyatt Farmer
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Thomas J. Doherty, Evan A. Gould, Ann Elizabeth DiGiorgio
Hearing Site: San Diego, CA
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| 12-03030 | 04/21/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Respondent Lawyers(s): Andrew R. Livingston
Arbitrator(s): Evan A. Gould, John Goodrich, John M Wilson
Hearing Site: San Diego, CA
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| 09-05958 | 03/07/2011 | Claimant(s): Octavio Torres
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): David Walker, Hartford Life Distributors f/k/a Planco
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Evan A. Gould, Thomas L. Marshall, Mack Reed Christian
Hearing Site: San Diego, CA
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