| 10-02514 | 08/30/2011 | Claimant(s): Al Trevisan, Trevisan, Olson and Pyle Investments LLC
Claimant Lawyers(s): Al Trevisan
Respondent(s): Daniel Croke
Respondent Lawyers(s): Daniel M. Croke
Arbitrator(s): Michael F. Brown, Mandel E. Himelstein, Sally G. Williams
Hearing Site: San Diego, CA
|  | $370,564 |
| 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 |
| 09-03670 | 07/22/2011 | Claimant(s): Robert Banks, Vita Banks, Robert R. Banks IRA, Vita Banks IRA
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James P. Delphey
Arbitrator(s): Jo-Ann C. Little, Judith A. Gust, Sally G. Williams
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 |
| 09-02641 | 04/27/2011 | Claimant(s): M. Michele Sawyer
Claimant Lawyers(s): Jeffrey P. Lendrum
Respondent(s): Carlos Legaspy, Horwitz & Associates.
Respondent Lawyers(s): Dennis J. Kelly
Arbitrator(s): Guenter S. Cohn, Cynthia B. Stone, E. Milton Frosburg
Hearing Site: San Diego, CA
| | $0 |
| 07-00769 | 03/21/2011 | Claimant(s): Armande Desjarlais
Claimant Lawyers(s): Steven M. Green
Respondent(s): James Sheridan, R. Will, Randy Weaver
Respondent Lawyers(s): James A. Sheridan, R. Lance Will, Randy Weaver
Arbitrator(s): Fred T. Kallet, James J. Dobbin, Nils Stephen Sandberg
Hearing Site: San Diego, CA
| | $54,833 |
| 09-02494 | 03/21/2011 | Claimant(s): Helen Cohen Living Trust, Trust A, Trust B
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): James Trujillo, Secu Brokerage Services
Respondent Lawyers(s): Michael L. Weisel, Scott L. Metzger
Arbitrator(s): James H. Bowersox, Sally G. Williams, Dennis Michael Kelleher
Hearing Site: San Diego, CA
| | $0 |
| 09-06773 | 03/16/2011 | Claimant(s): Jacqueline Picquelle
Claimant Lawyers(s): Robert J. Benbenek
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Thomas L. Azar
Arbitrator(s): Lawrence Alexander Huerta, John C. Lees, Thomas L. Marshall
Hearing Site: San Diego, CA
| | $45,000 |
| 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 |
