| 15-01127 | 10/10/2016 | Claimant(s): Lisa Cooper, Trevor Cooper
Claimant Lawyers(s): D. Daxton White
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): William L. Merkin, Mandel E. Himelstein, John M Wilson
Hearing Site: San Diego, CA
|  | Expungement |
| 14-03425 | 06/17/2016 | Claimant(s): Ramona Hahn, Ramona Hahn IRA, Ramona Hahn Roth IRA, Ramona Hahn Family Trust DTD 08/04/2003
Claimant Lawyers(s): Leslie Schwaebe Akins
Respondent(s): LPL Financial LLC, John Sherwin, Thomas Hokr, Edward Jones, Investors Capital Corp.
Respondent Lawyers(s): Bentley P. Stansbury, Jon Kaplon, Michael A. Nagy
Arbitrator(s): Guenter S. Cohn, Sally G. Williams, Vytas Tarulis
Hearing Site: San Diego, CA
| | Expungement |
| 16-00994 | 05/24/2016 | Claimant(s): Isaac Organization, Joinmax Engineering Consultants, Negotiart of America.
Claimant Lawyers(s): David E. Robbins
Respondent(s): Rocco Guidicipietro
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Patricia Mary Reilly, Nancy J. Spieczny, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | Expungement |
| 14-03309 | 04/22/2016 | Claimant(s): Maged Ebrahim
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Nancy J. Spieczny, Sally G. Williams, Vytas Tarulis
Hearing Site: San Diego, CA
| | $0 |
| 15-00828 | 02/05/2016 | Claimant(s): Xiufeng Wu
Claimant Lawyers(s): Jinsong Na Gao
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | $0 |
| 14-01241 | 12/03/2015 | Claimant(s): James Price
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Morgan Stanley, Philip Curran
Respondent Lawyers(s): Gregory B. Simon, Melissa M. Muehlfeld
Arbitrator(s): James D. Knotter, Vytas Tarulis, Edward H. Davis
Hearing Site: San Diego, CA
| | $0 |
| 14-02077 | 11/23/2015 | Claimant(s): John Haas, Kathy Haas, NNN Parkway Corporate Plaza 5
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Sagepoint Financial., Peter Shusterman
Respondent Lawyers(s): Theodore C. Peters
Arbitrator(s): Mary Elizabeth Geerdes, Daniel A. Seiver, Randall Brian Christison
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 14-00864 | 11/17/2015 | Claimant(s): Natalija Josimovich
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Erinn Ford, Philip Pizelo, The Estate of Robert A. Cannon
Respondent Lawyers(s): Diane M. Meyers, Erinn J. Ford, Philip Anthony Pizelo
Arbitrator(s): Greta Glavis, Randy R. Maher, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | Expungement |
| 13-01867 | 09/25/2015 | Claimant(s): Larry English
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Fuad Ahmed, Jinesh Brahmbhatt, Success Trade Securities.
Respondent Lawyers(s): Fuad Ahmed, Jinesh Pravin Brahmbhatt
Arbitrator(s): Deanna J. Johnson, Mandel E. Himelstein, Virginia H. Gaburo
Hearing Site: San Diego, CA
| | $270,180 |
| 12-01854 | 09/18/2015 | Claimant(s): Tammy Miller
Claimant Lawyers(s): R. Craig Zafis
Respondent(s): Matthew Deline
Respondent Lawyers(s): Matthew Francis Deline
Arbitrator(s): Guenter S. Cohn, Kelly A. Barker, Arthur F. Brueggeman
Hearing Site: San Diego, CA
| | $16,800 |
