| 10-05617 | 06/01/2011 | Claimant(s): David Gillaspy
Claimant Lawyers(s): David Gillaspy
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Janice L. Sperow
Hearing Site: San Diego, CA
| | Expungement |
| 10-04548 | 05/09/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): John Arquette
Respondent Lawyers(s): John Robert Arquette
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
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| 09-07032 | 05/05/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Suzanne LaTour
Respondent Lawyers(s): Peter J. Attarian
Arbitrator(s): Mandel E. Himelstein, Michael D. Briggs, Alan Joseph Goldstein
Hearing Site: San Diego, CA
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| 10-04911 | 04/18/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Daniel Crotta
Respondent Lawyers(s): Daniel William Crotta
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
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| 10-01448 | 04/01/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): David Lynn
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): William L. Merkin, Jo-Ann C. Little, Katherine Jane Morris
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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| 10-03033 | 03/03/2011 | Claimant(s): Robert Binkele
Claimant Lawyers(s): Robert Joseph Binkele
Respondent(s): Walker Johnson
Respondent Lawyers(s): Walker Randolph Johnson
Arbitrator(s): Peter D. Brennan
Hearing Site: San Diego, CA
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| 09-01823 | 02/15/2011 | Claimant(s): Allison Alley, Stephen Hoen
Claimant Lawyers(s): Robert L. Hill
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Mandel E. Himelstein, Janice L. Sperow, Thomas E. Mullen
Hearing Site: San Diego, CA
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| 10-00631 | 11/23/2010 | Claimant(s): Thomas Trax
Claimant Lawyers(s): Jeffrey S. Kob
Respondent(s): Westfin Securities Corporation
Respondent Lawyers(s): Stephen M. Locko
Arbitrator(s): Franklin G. Allen, Patricia Mary Reilly, Jerome M. Libenson
Hearing Site: San Diego, CA
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| 09-06925 | 11/16/2010 | Claimant(s): Joe Woods
Claimant Lawyers(s): Jeffrey S. Kob
Respondent(s): Ann Bond, Brady Foley
Respondent Lawyers(s): Daria Dub Carlson
Arbitrator(s): Nancy J. Spieczny, Thomas Erique DuVoisin, Brian William Heublein
Hearing Site: San Diego, CA
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