| 22-00721 | 06/01/2023 | Claimant(s): William Morrow
Claimant Lawyers(s): Zachary Morse
Respondent(s): Titan/Value Equities Group., Independent Financial Group., Value Equities Corporation
Respondent Lawyers(s): Michael Mullenniex, Robert L. Dix, Sarah J. Kreisman
Arbitrator(s): Morris S. Getzels
Hearing Site: San Diego, CA
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| 22-01470 | 05/10/2023 | Claimant(s): Jordan Varela
Claimant Lawyers(s): Daniel J. Donovan
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: San Diego, CA
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| 22-01878 | 04/26/2023 | Claimant(s): John Jenkins
Claimant Lawyers(s): Samantha Pastor
Respondent(s): SunAmerica Securities., QA3 Financial Corp.
Respondent Lawyers(s): Jennifer R. Cox, Thomas Zielinski
Arbitrator(s): Erik R. Siering
Hearing Site: San Diego, CA
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| 22-02036 | 04/11/2023 | Claimant(s): Brian Stokes
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
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| 20-03924 | 03/10/2023 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Ryan Hyslop
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
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| 21-00664 | 01/09/2023 | Claimant(s): Ryan Hyslop
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Chris Osborne, Curtis Peterson, Darren Pfefferman, David Bigler, David Lawrence, Morgan Stanley, Lisa Haygood, Nicholas Westendorf, Rachel Morman
Respondent Lawyers(s): Rachel Morman, Tracy L. Gerber
Arbitrator(s): Martin Jonathan Barrack, Jo-Ann C. Little, Janice L. Sperow
Hearing Site: San Diego, CA
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| 21-02801 | 08/31/2022 | Claimant(s): Trevor Siani
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Comerica Securities
Respondent Lawyers(s): John P. Kincade
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
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| 21-03078 | 08/23/2022 | Claimant(s): Tod Lenhoff
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Financial West Group, Madison Avenue Securities
Respondent Lawyers(s): Gene Valentine, Jeffrey S. Kob
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
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| 21-02803 | 07/15/2022 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): David G. Smitham
Respondent(s): Neil Fineman
Respondent Lawyers(s): Neil S. Fineman
Arbitrator(s): Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
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| 21-00963 | 03/28/2022 | Claimant(s): Edwin McClure III
Claimant Lawyers(s): Zachary Morse
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
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