| 20-03492 | 04/16/2021 | Claimant(s): Luke Chimes
Claimant Lawyers(s): Taylor E. Darcy
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Thomas E Shuck
Hearing Site: San Diego, CA
|  | $375 |
| 20-01309 | 09/10/2020 | Claimant(s): Dolan Family Trust Account
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Jonah Engler
Respondent Lawyers(s): Jonah Engler
Arbitrator(s): Janice L. Sperow
Hearing Site: San Diego, CA
| | $72,000 |
| 18-02805 | 11/11/2019 | Claimant(s): The Leonard and Gen Winton Trust
Claimant Lawyers(s): Robert G. Knaier
Respondent(s): Scottrade Inc., TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): James D. Knotter, Chad Anthony Franks, Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | $0 |
| 17-02768 | 02/07/2019 | Claimant(s): Norman Lipson
Claimant Lawyers(s): Robert J Girard
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Doris V. Knotter, Thomas L. Marshall, Chad Anthony Franks
Hearing Site: San Diego, CA
| | Expungement |
| 15-01927 | 02/04/2019 | Claimant(s): Dolan Family Trust Account
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Brian Hagerman, John Vaughan
Respondent Lawyers(s): Brian Joseph Hagerman, John Joseph Vaughan
Arbitrator(s): James D. Knotter, Katherine Jane Morris, Thomas L. Marshall
Hearing Site: San Diego, CA
| | Dismissed by Rule 12601(c) |
| 17-02029 | 12/04/2018 | Claimant(s): Barbara Freeman
Claimant Lawyers(s): Michael L. Kirby
Respondent(s): J.P. Morgan Securities, Vincent McGuinness
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Nancy J. Spieczny, Randall B Christison, Kevin Joseph Pilon
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 |
| 17-01880 | 10/19/2018 | Claimant(s): John Coughlin
Claimant Lawyers(s): Neda Ataie
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Doris V. Knotter, Janice L. Sperow, William Stephen McGee
Hearing Site: San Diego, CA
| | Expungement |
| 17-01935 | 09/27/2018 | Claimant(s): Bob Rogers, Bobby and Michelle Rogers Family Trust
Claimant Lawyers(s): Juan C. Castaneda
Respondent(s): Morgan Stanley, Robert Nelson
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Sally G. Williams, Thomas L. Marshall, Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | $0 |
| 18-00160 | 09/21/2018 | Claimant(s): Mary Abbott
Claimant Lawyers(s): Melissa Abbott
Respondent(s): Casey Broach, National Planning Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | $14,000 |
