| 09-03803 | 02/22/2011 | Claimant(s): Gilbert Lee, Lee Family Trust
Claimant Lawyers(s): Marc D. Mabile
Respondent(s): Bart Martinez, Wachovia Securities, A.G. Edwards & Sons.
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
|  | $34,305 |
| 10-01084 | 02/15/2011 | Claimant(s): IRA Susan C Trump, Roth IRA Susan C Trump, Hudson Bay Sea Food Age-Weighted Profit, Charles and Virginia Konjoyan Trust, SC Trump 2004 Trust
Claimant Lawyers(s): Susan Trump
Respondent(s): Jeffrey Mccoy, Mollyjo Miller
Respondent Lawyers(s): Michael J. Abbott
Arbitrator(s): Guenter S. Cohn, D. Brad Callen, Robert Alan Merring
Hearing Site: San Diego, CA
| | Expungement |
| 09-01782 | 11/16/2010 | Claimant(s): Joanne Tweed
Claimant Lawyers(s): Joanne Tweed
Respondent(s): UBS Financial Services Inc., Mark Swan
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Gunnar Thowsen, Guenter S. Cohn, Thomas L. Marshall
Hearing Site: San Diego, CA
| | $0 |
| 09-00588 | 02/02/2010 | Claimant(s): Alan Yaghdjian, Mireille Yaghdjian
Claimant Lawyers(s): Kenneth H. Stone
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Lester G. Stiel, Guenter S. Cohn, Steven A. Fox
Hearing Site: San Diego, CA
| | $0 |
| 08-03952 | 02/01/2010 | Claimant(s): Crisostomo ("Tom") Garcia, Crisostomo B. Garcia Trust
Claimant Lawyers(s): James P. Delphey
Respondent(s): Stephen Kaplan, Gilford Securities Incorporated
Respondent Lawyers(s): Gabriel A. Mendel, Martin H. Kaplan
Arbitrator(s): Guenter S. Cohn, Barry E. Kersh, Evelyn R. Wiggins
Hearing Site: San Diego, CA
| | $0 |
| 09-02086 | 11/02/2009 | Claimant(s): Raymond Yorke
Claimant Lawyers(s): Raymond Yorke
Respondent(s): Wells Fargo Investments, Darrell Hesford
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
| | $0 |
| 07-01978 | 12/09/2008 | Claimant(s): Mondofin Inc., Mondofin Inc. No. 23, Mondofin Inc. No. 24, Mondofin Inc. No. 33
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Jonathan Robbins
Arbitrator(s): Alfred E. Monahan, Guenter S. Cohn, Gino Dante Serpe
Hearing Site: San Diego, CA
| | $0 |
| 06-05306 | 08/07/2008 | Claimant(s): Gustavo Vildosola Castro, Lorenza de Vildosola, Gustavo Vildosola & Lorenza Ramos de V
Claimant Lawyers(s): Richard A. Heller, Vincent D. Slavens
Respondent(s): Citigroup Global Markets., Juan Cabanas-Vildosola, UBS Financial Services Inc.
Respondent Lawyers(s): Gilbert R. Serota, Samuel A. Keesal
Arbitrator(s): Guenter S. Cohn, Doris V. Knotter, James Paul Estes
Hearing Site: San Diego, CA
| | $0 |
