| 12-04201 | 07/29/2015 | Claimant(s): Doris Rose, Code 3 Industries., Historical Properties., Kay Administration Service., The Rose Family Trust, The Rose Family Trust # 3, The Rose Family Trust #2
Claimant Lawyers(s): Daniel Carlson, G. Mark Brewer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Helen W. Kinnaird, Evan A. Gould, John Scott Carter
Hearing Site: San Diego, CA
|  | Expungement |
| 13-03299 | 07/22/2015 | Claimant(s): Carol Saunders
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Daniel Haskard, Morgan Stanley, Susan Dandridge
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | Expungement |
| 12-02242 | 07/16/2015 | Claimant(s): Robert Teel, Robert Charles LLC, Robert Charles & Co., L.P., Robert Charles Class A, Robert Charles L.P., Calvin Brown Memorial Trust
Claimant Lawyers(s): Leslie Wybiral, Louis F. Burke
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates, Paul J. Schumacher
Arbitrator(s): Helen W. Kinnaird, Gene S. Evenskaas, Deanna Margaret Veitia
Hearing Site: San Diego, CA
| | $327,000 |
| 14-00323 | 06/09/2015 | Claimant(s): Sean Berton
Claimant Lawyers(s): Vincent D. Slavens
Respondent(s): Chris Meacham, Cornerstone Wealth Management
Respondent Lawyers(s): Steve Young
Arbitrator(s): Erwin Jay Shustak, Mandel E. Himelstein, Otis E. Hackett
Hearing Site: San Diego, CA
| | $176,750 |
| 13-02766 | 06/03/2015 | Claimant(s): Estate of Donald F. Peters, Deceased, EDFP Limited Partnership
Claimant Lawyers(s): Christopher Mader
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Wendy S. Menghini
Arbitrator(s): Mark R. Lee, Ronald O. Bub, E. Milton Frosburg
Hearing Site: San Diego, CA
| | $0 |
| 13-00824 | 04/16/2015 | Claimant(s): Mark Barmak
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew Sidman
Arbitrator(s): Mark R. Lee, Kenneth Andrew Klinko, Thomas L. Marshall
Hearing Site: San Diego, CA
| | Expungement |
| 14-00229 | 02/11/2015 | Claimant(s): Paul Clarfield
Claimant Lawyers(s): Paul Clarfield
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Otis E. Hackett
Hearing Site: San Diego, CA
| | $163 |
| 13-01430 | 12/16/2014 | Claimant(s): Edward Singer, Nancy Singer, Edward S. Singer 1931 Trust dtd 1/02/31
Claimant Lawyers(s): Daniel B. Carlson
Respondent(s): G. Runnels, T.R. Winston & Company
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Nancy J. Spieczny, James J. Dobbin, Gary Patrick Poon
Hearing Site: San Diego, CA
| | Expungement |
| 14-00532 | 10/13/2014 | Claimant(s): Arlin Brock
Claimant Lawyers(s): Arlin Brock
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Mack E. McCain
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
| | $25 |
| 14-00250 | 09/12/2014 | Claimant(s): James Anderson
Claimant Lawyers(s): James Anderson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Meredith A. Faro
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
| | $6,595 |
