| 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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| 15-00524 | 08/04/2017 | Claimant(s): Bradley Sayre
Claimant Lawyers(s): Kevin Mirch
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): James Paul Estes, Brian Boru Torsney, Daniel A. Seiver
Hearing Site: San Diego, CA
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| 15-01379 | 08/03/2017 | Claimant(s): Catherine Bruno
Claimant Lawyers(s): Catherine Bruno
Respondent(s): UBS Financial Services Inc., Lawrence Zech
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Guenter S. Cohn, Doris V. Knotter, Seth Schwartz
Hearing Site: San Diego, CA
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| 16-03328 | 07/20/2017 | Claimant(s): Shareholders Service Group.
Claimant Lawyers(s): Jeffrey S. Kob
Respondent(s): Jean Schott
Respondent Lawyers(s): Matthew S. Rork
Arbitrator(s): Herbert Liberman, Doris V. Knotter, Thomas L. Marshall
Hearing Site: San Diego, CA
| | Expungement |
| 16-00543 | 12/12/2016 | Claimant(s): John Toman
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Brett W. Everhart, Doris V. Knotter, Randy R. Maher
Hearing Site: San Diego, CA
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| 13-02523 | 12/01/2016 | Claimant(s): Edward Signaigo
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Respondent Lawyers(s): Gina Shlaferman, Tracy L. Gerber
Arbitrator(s): James D. Knotter, M. LaRae Bakerink, Randy R. Maher
Hearing Site: San Diego, CA
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| 15-03376 | 10/31/2016 | Claimant(s): Kevin Meyer
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Michael T. West
Arbitrator(s): Mark R. Lee, Katherine Jane Morris, Steven A. Fox
Hearing Site: San Diego, CA
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| 16-01225 | 10/18/2016 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Babak Yousefzadeh
Respondent(s): Enrique Marentes
Respondent Lawyers(s): Enrique Abraham Marentes
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
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| 15-02207 | 06/20/2016 | Claimant(s): Eric Schindler
Claimant Lawyers(s): Chad E. Weaver
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Philip A. Pizelo
Arbitrator(s): Thomas L. Marshall
Hearing Site: San Diego, 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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