20-04192 | 06/01/2021 | Claimant(s): James Abonyi Claimant Lawyers(s): James M. Abonyi Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Garrett R. Wynne Arbitrator(s): Barbara M. Zak Hearing Site: San Diego, CA
| | $88 |
20-02839 | 04/20/2021 | Claimant(s): Catherine Ward Claimant Lawyers(s): Kimberly Ward Respondent(s): Alicia Kitz, Michael Bahary, Hilltop Securities Inc. Respondent Lawyers(s): Edward Zusman Arbitrator(s): Herbert Liberman Hearing Site: San Diego, CA
| | $0 |
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 |