| 15-02144 | 05/26/2016 | Claimant(s): Marc Seward
Claimant Lawyers(s): Vincent D. Slavens
Respondent(s): Securities America.
Respondent Lawyers(s): Sabryne Coleman
Arbitrator(s): Robert A. Lakosil, George L. Tindall, Randy R. Maher
Hearing Site: San Diego, CA
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| 14-03277 | 04/07/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Gary Polakoff
Respondent Lawyers(s): Sharron E. Ash
Arbitrator(s): Kenneth Andrew Klinko
Hearing Site: San Diego, CA
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| 12-04040 | 11/10/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Aric Kent
Respondent Lawyers(s): Marie C. Mirch
Arbitrator(s): Fred T. Kallet, James D. Knotter, Thomas J. Doherty
Hearing Site: San Diego, CA
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| 15-00566 | 11/10/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Judy Louie
Respondent(s): Timothy Barnard
Respondent Lawyers(s): Timothy Scott Barnard
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
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| 14-02870 | 10/29/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Note Hold
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Brian Benner
Respondent Lawyers(s): Patrick R. Mahoney
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
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| 13-02852 | 04/28/2015 | Claimant(s): Corinne Fond
Claimant Lawyers(s): Jonah A. Toleno
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Respondent Lawyers(s): Andrew R. Livingston
Arbitrator(s): Harvey C. Flodin, Mark R. Lee, Jo-Ann C. Little
Hearing Site: San Diego, CA
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| 14-01951 | 04/14/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan D. Berg, Timothy N. Will
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
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| 14-02527 | 03/25/2015 | Claimant(s): Richard Simpson
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Helen James, Helen James Living Trust
Respondent Lawyers(s): Helen James
Arbitrator(s): James D. Knotter, John Goodrich, Steven F. Bernstein
Hearing Site: San Diego, CA
| | Expungement |
| 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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| 12-02484 | 10/09/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Ashley T. Hirano
Respondent(s): Bradley Schmitt
Respondent Lawyers(s): Kevin J. Mirch
Arbitrator(s): Thomas Erique DuVoisin, Michael D. Briggs, Robert E. Witt
Hearing Site: San Diego, CA
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