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 |
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 |
18-00914 | 08/13/2018 | Claimant(s): Gordon Siu Claimant Lawyers(s): Gordon Siu Respondent(s): Scottrade Inc., TD Ameritrade. Respondent Lawyers(s): William M. Turner Arbitrator(s): Otis E. Hackett Hearing Site: San Diego, CA
| | $0 |
17-00857 | 06/25/2018 | Claimant(s): Kris Dielman, Sandy Dielman Claimant Lawyers(s): Robert Traylor Respondent(s): Woodbury Financial Services. Respondent Lawyers(s): Gavin E. Gruber Arbitrator(s): Mark R. Lee, Randy R. Maher, Deanna Margaret Veitia Hearing Site: San Diego, CA
| | $1,091,580 |
16-03121 | 05/22/2018 | Claimant(s): Terri Greenamyer Revocable Tr dtd 5/8/92 Claimant Lawyers(s): Vincent D. Slavens Respondent(s): Wedbush Securities Inc., Karen Brady Respondent Lawyers(s): John Stenson Arbitrator(s): Mandel E. Himelstein, Evan A. Gould, Lei-Chala Indee Wilson Hearing Site: San Diego, CA
| | Expungement |
16-01853 | 03/13/2018 | Claimant(s): Jennifer Marun, representing the estate Claimant Lawyers(s): Rachel Vrana Respondent(s): David Dodd, David Reicks, Elizabeth Zuniga, Citigroup Global Markets., Juan Cabanas, UBS Financial Services Inc. Respondent Lawyers(s): Terry Ross Arbitrator(s): Michael E. Rohde, Shawn Michael Spaulding, Charles H. Dick Hearing Site: San Diego, CA
| | Expungement |
16-02621 | 01/11/2018 | Claimant(s): John Wright Claimant Lawyers(s): Brian D. Miller Respondent(s): Ryan Bowers, Enviso Capital Respondent Lawyers(s): Vincent Slavens Arbitrator(s): Mark R. Lee, Mary Elizabeth Geerdes, John Scott Carter Hearing Site: San Diego, CA
| | $0 |
16-01450 | 01/05/2018 | Claimant(s): Donna Gambee Claimant Lawyers(s): Charles H. Field Respondent(s): David Barber, Madison Avenue Securities, Llc Respondent Lawyers(s): Brandon S. Reif Arbitrator(s): Deanna J. Johnson, Janice L. Sperow, Mitchell Lee Lathrop Hearing Site: San Diego, CA
| | $1,945,400 |
17-01381 | 10/25/2017 | Claimant(s): Sujata Vyas Claimant Lawyers(s): Marie Mirch Respondent(s): Bhaskar Vyas, First Affiliated Securities Respondent Lawyers(s): Bhaskar Chandrakant Vyas, Donna Bartlett Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA
| | $107,865 |