| 19-03520 | 05/04/2022 | Claimant(s): Abbas Azimi
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Herbert Liberman, Kevin K. Forrester, Randall B Christison
Hearing Site: San Diego, CA
|  | Expungement |
| 18-00142 | 10/31/2018 | Claimant(s): Nancy Undem
Claimant Lawyers(s): Jules L. Federman
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): E. Milton Frosburg, Kevin K. Forrester, Shawn Michael Spaulding
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 18-01040 | 08/30/2018 | Claimant(s): Timothy Cusick
Claimant Lawyers(s): William P. Keith
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Kevin K. Forrester, Brian William Heublein, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | Expungement |
| 15-03485 | 06/05/2017 | Claimant(s): Alicia Mapes, Gordon Mapes, Gordon M. Mapes and Alicia K. Mapes Livi
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Ryan Bowers
Respondent Lawyers(s): Vincent D. Slavens
Arbitrator(s): James D. Knotter, Katherine Jane Morris, Kevin K. Forrester
Hearing Site: San Diego, CA
| | $0 |
| 11-04783 | 09/05/2014 | Claimant(s): Charles Jia, Laura Zhou
Claimant Lawyers(s): Steven M. Green
Respondent(s): Anthony Sica, Gary Saccaro, Joseph Alagna, Michael Kaplan, Stephan Stein, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor, Michael Kaplan
Arbitrator(s): Kevin K. Forrester, Mitchell Lee Lathrop, Traci Lynn Sherrod
Hearing Site: San Diego, CA
| | Expungement |
| 11-04281 | 08/28/2012 | Claimant(s): Melody Thayer
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | $95,047 |
| 09-03602 | 06/01/2012 | Claimant(s): Janet Garcie, Sharon Grosskopf, Walter Grosskopf, The Janet K. Garcie Revocable Trust, The Walter and Sharon Grosskopf Trust
Claimant Lawyers(s): Janet Garcie, Walter & Sharon Grosskopf
Respondent(s): Audrey Kuwabara, James Nagle, Michael Ning, Arque Capital, Ltd.
Respondent Lawyers(s): Jared R.B. Hutton, Shirley Hayton
Arbitrator(s): Mandel E. Himelstein, Kevin K. Forrester, D. Brad Callen
Hearing Site: San Diego, CA
| | $0 |
| 10-02006 | 08/12/2011 | Claimant(s): Arthur Ball
Claimant Lawyers(s): Steven M. Green
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Terry D. Anderson, Kevin K. Forrester, Rose Marie A. Boucher
Hearing Site: San Diego, CA
| | Expungement |
| 11-00646 | 07/06/2011 | Claimant(s): Dr. Henry & Patrice Kankowski
Claimant Lawyers(s): Matthew R. Miller
Respondent(s): Jonathon Webster, Morgan Stanley & Co.
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): Guenter S. Cohn, Kevin K. Forrester, Nils Stephen Sandberg
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 11-00647 | 07/06/2011 | Claimant(s): Dr. James & Nada Eischen
Claimant Lawyers(s): Matthew R. Miller
Respondent(s): Jonathon Webster, Morgan Stanley & Co.
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): Guenter S. Cohn, Kevin K. Forrester, Nils Stephen Sandberg
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
