| 11-04783 | 09/05/2014 | Claimant(s): Charles Jia, Laura Zhou
Claimant Lawyers(s): Steven M. Green
Respondent(s): Anthony Sica, Gary Saccaro, Joseph Alagna, Michael Kaplan, Stephan Stein, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor, Michael Kaplan
Arbitrator(s): Kevin K. Forrester, Mitchell Lee Lathrop, Traci Lynn Sherrod
Hearing Site: San Diego, CA
|  | Expungement |
| 13-03620 | 07/31/2014 | Claimant(s): Richard Hylland
Claimant Lawyers(s): Richard R. Hylland
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
| | $0 |
| 13-03216 | 07/18/2014 | Claimant(s): Michael Abdou
Claimant Lawyers(s): Michael Abdou
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): Christine Delaney
Arbitrator(s): Thomas Erique DuVoisin
Hearing Site: San Diego, CA
| | $175 |
| 13-00430 | 06/11/2014 | Claimant(s): Agnes Barrelet, Agnes Barrelet IRA, Agnes Barrelet Trust dated 10/09/2009
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Christopher Taylor, NFP Securities.
Respondent Lawyers(s): Alexis Lu, Brandon S. Reif
Arbitrator(s): Harvey C. Flodin, Nancy J. Spieczny, Michael D. Briggs
Hearing Site: San Diego, CA
| | $1,246,160 |
| 12-03372 | 06/03/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Corey Casilio, John Valentine, William Leitch
Respondent Lawyers(s): Michael Blumenfeld, Robert Girard, Samuel J. Casey
Arbitrator(s): Deanna Margaret Veitia, Edward H. Davis, Steven F. Bernstein
Hearing Site: San Diego, CA
| | Expungement |
| 13-00579 | 03/04/2014 | Claimant(s): Doreen Blank, Edward Blank, Estate of Della A.B. Baker
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): James Glover, Signator Investors.
Respondent Lawyers(s): James Robert Glover, Paul F. Enzinna
Arbitrator(s): Jeffrey L. Gaffney, Randy R. Maher, Daniel R. Saling
Hearing Site: San Diego, CA
| | $1,589,150 |
| 12-04191 | 02/06/2014 | Claimant(s): Negotiart of America.
Claimant Lawyers(s): David E. Robbins
Respondent(s): Sean Spearman, Ascendiant Capital Markets
Respondent Lawyers(s): Brian A. Lebrecht
Arbitrator(s): Erwin Jay Shustak, Brian Boru Torsney, Traci Lynn Sherrod
Hearing Site: San Diego, CA
| | $510,890 |
| 12-02504 | 01/29/2014 | Claimant(s): Ernest Coneen, The Coneen Family Trust DTD 06-16-82
Claimant Lawyers(s): Michael J. Aguirre
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Philip Bresnick, Morgan Stanley Commercial Financial Svcs
Respondent Lawyers(s): Jason Lindsey, Paul Schumacher, Scott E. Rahn
Arbitrator(s): Vytas Tarulis, Gino Dante Serpe, Michael D. Briggs
Hearing Site: San Diego, CA
| | Expungement |
| 12-03473 | 01/22/2014 | Claimant(s): Daryl Olson
Claimant Lawyers(s): Matthew J. Faust
Respondent(s): Wells Fargo Advisors, John Mclaughlin
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Sally G. Williams
Hearing Site: San Diego, CA
| | $35,954 |
| 12-01674 | 12/30/2013 | Claimant(s): Colum O'Hare, Colum G. O'Hare Trust dd 9/01/1993
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Gary Glockzin, Mary Gibson, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Fred T. Kallet, Lester G. Stiel, Deanna Margaret Veitia
Hearing Site: San Diego, CA
| | Expungement |
