21-02214 | 03/23/2022 | Claimant(s): Danielle Stanton Claimant Lawyers(s): Patrick R. Mahoney Respondent(s): LPL Financial LLC Respondent Lawyers(s): Kelsey L. Vasko Arbitrator(s): Robert A. Lakosil, Kirtley M. Thiesmeyer, Thomas L. Marshall Hearing Site: San Diego, CA
| | |
21-01733 | 03/09/2022 | Claimant(s): Benjamin Lau Claimant Lawyers(s): Ariel Okonsky Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Thomas M. McHugh Arbitrator(s): Thomas L. Marshall Hearing Site: San Diego, CA
| | |
19-03817 | 12/06/2021 | Claimant(s): D. Blankenship Claimant Lawyers(s): Frances Menzer Respondent(s): Independent Financial Group. Respondent Lawyers(s): Robert L. Gonser Arbitrator(s): David Sear, Randy R. Maher, Thomas L. Marshall Hearing Site: San Diego, CA
| | |
18-01429 | 08/21/2019 | Claimant(s): Harry Paez Claimant Lawyers(s): Harry Paez Respondent(s): Securities America. Respondent Lawyers(s): Chad Weaver Arbitrator(s): James A. Bush, John M Wilson, Thomas L. Marshall Hearing Site: San Diego, CA
| | |
16-02139 | 12/18/2017 | Claimant(s): David Hughes Claimant Lawyers(s): Jonah A. Toleno Respondent(s): Kestra Investment Services. Respondent Lawyers(s): Kelsey L. Hotchkiss Arbitrator(s): Joseph J. Woodford, Brian William Heublein, Thomas L. Marshall Hearing Site: San Diego, CA
| | |
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 |
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
| | |
12-01874 | 06/19/2014 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Timothy N. Will Respondent(s): David Geschke, Joseph De Falco, Lawrence King Respondent Lawyers(s): Michael Blumenfeld, Timothy N. Will Arbitrator(s): Mandel E. Himelstein, Edward H. Davis, Thomas L. Marshall Hearing Site: San Diego, CA
| | |
11-03662 | 11/19/2013 | Claimant(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): John Giansello Respondent(s): John Simmons Respondent Lawyers(s): Guy A. Ricciardulli Arbitrator(s): Nancy J. Spieczny, Marsha Lee, Thomas L. Marshall Hearing Site: San Diego, CA
| | |
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
| | |