17-03107 | 06/19/2018 | Claimant(s): Daniel Dodgen Claimant Lawyers(s): Patrick R. Mahoney Respondent(s): AXA Advisors Respondent Lawyers(s): Pamela Rosado Arbitrator(s): Nancy J. Spieczny Hearing Site: San Diego, CA
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16-02793 | 07/19/2017 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Rebecca L. Gerome Respondent(s): Rex Ramsey Respondent Lawyers(s): Christopher M. Carrillo Arbitrator(s): Nancy J. Spieczny, Annette Gres Shepherd, Joseph L. Hagan Hearing Site: Los Angeles, CA
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15-00551 | 06/17/2016 | Claimant(s): Thomas Garrity Claimant Lawyers(s): Thomas P. Garrity Respondent(s): Christopher Vanstelle, Mario Moretto, Steelpoint Securities. Respondent Lawyers(s): Christopher Van Stelle Arbitrator(s): Mark R. Lee, Nancy J. Spieczny, James Paul Estes Hearing Site: San Diego, CA
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11-01203 | 01/26/2015 | Claimant(s): Jeffrey Rogers Claimant Lawyers(s): Harvey C. Berger Respondent(s): Citigroup Global Markets., Morgan Stanley Respondent Lawyers(s): Timothy B. Del Castillo, Trish M. Higgins Arbitrator(s): Herbert Murez, Nancy J. Spieczny, Vytas Tarulis Hearing Site: San Diego, CA
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11-03662 | 11/19/2013 | Claimant(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): John Giansello Respondent(s): John Simmons Respondent Lawyers(s): Guy A. Ricciardulli Arbitrator(s): Nancy J. Spieczny, Marsha Lee, Thomas L. Marshall Hearing Site: San Diego, CA
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12-02264 | 05/20/2013 | Claimant(s): Lee Tripodi Claimant Lawyers(s): Robert L. Hill Respondent(s): Torrey Pines Securities. Respondent Lawyers(s): Michael W. Jacobs Arbitrator(s): Harvey C. Flodin, Brett W. Everhart, Nancy J. Spieczny Hearing Site: San Diego, CA
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09-04869 | 04/18/2013 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Charles A. Hammaker Respondent(s): Stifel, Nicolaus & Co.., Gary Endres Respondent Lawyers(s): Andrew Shapren, Joseph A.. Dougherty Arbitrator(s): Nancy J. Spieczny, Deanna Margaret Veitia, Brian William Heublein Hearing Site: San Diego, CA
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10-00375 | 08/03/2012 | Claimant(s): Chris Jones, Wealth Rescue Strategies. Claimant Lawyers(s): Clifford B. Altfeld, Todd S. Neal Respondent(s): David Wheless, Robert Thompson, Sally Thompson, First Texas Alliance Corporation, NuSource Financial Group Respondent Lawyers(s): Leonard J. Meyer, Mitchell S. Ostwald Arbitrator(s): Harvey C. Flodin, Gunnar Thowsen, Nancy J. Spieczny Hearing Site: San Diego, CA
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10-05243 | 02/08/2012 | Claimant(s): Morgan Stanley Claimant Lawyers(s): Timothy N. Will Respondent(s): Michael Delorenzo Respondent Lawyers(s): Christine A. Page Arbitrator(s): Nancy J. Spieczny Hearing Site: Los Angeles, CA
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10-00664 | 08/04/2011 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): John C. Steele Respondent(s): Piper Jaffray & Co., Mark Riley Respondent Lawyers(s): John C. Steele, Marie C. Mirch Arbitrator(s): Nancy J. Spieczny, Edward H. Davis, Arnold Packer Hearing Site: San Diego, CA
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