| 19-02252 | 04/10/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Eli Moeller
Respondent Lawyers(s): Eli Moeller
Arbitrator(s): Sally G. Williams
Hearing Site: San Diego, CA
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| 19-00315 | 02/03/2020 | Claimant(s): Michael Bakos
Claimant Lawyers(s): Frances Menzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Leslie Blickenstaff
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
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| 18-02540 | 01/02/2020 | Claimant(s): Alex Wilson, Bryan Clapham, James Goggins, Jason Proctor, Jennifer Meyer, Michael Andrews
Claimant Lawyers(s): Jonah A Toleno
Respondent(s): USAAFinancial Advisors.
Respondent Lawyers(s): Michael R. Greco
Arbitrator(s): Deanna J. Johnson, Randall B Christison, Blake Dean Baxter
Hearing Site: San Diego, CA
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| 19-01360 | 11/22/2019 | Claimant(s): Terrance Arges
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David S. Markun
Arbitrator(s): Steven A. Fox, Mitchell Lee Lathrop, Dan Deuprey
Hearing Site: San Diego, CA
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| 19-01689 | 11/19/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Ryan Ashton
Respondent Lawyers(s): Ryan Manning Ashton
Arbitrator(s): Evan A. Gould
Hearing Site: San Diego, CA
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| 19-00411 | 11/14/2019 | Claimant(s): Robert Rose
Claimant Lawyers(s): Frances Menzer
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
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| 19-01230 | 11/06/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): John Agostino
Respondent Lawyers(s): John Shannon Agostino
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
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| 19-00412 | 10/23/2019 | Claimant(s): Robert Rose
Claimant Lawyers(s): Frances Menzer
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Michael E. Rohde
Hearing Site: San Diego, CA
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| 19-00293 | 10/22/2019 | Claimant(s): Stephen Seewer
Claimant Lawyers(s): Michael Bessette
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
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| 18-04322 | 10/21/2019 | Claimant(s): Sandeep Varma, Steven Musser
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
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