| 13-01355 | 12/20/2013 | Claimant(s): Nadia Bacon f/k/a Nadi Youssef
Claimant Lawyers(s): Nadia Youssef
Respondent(s): Wells Fargo Advisors Financial Network, Fifth Third Securities.
Respondent Lawyers(s): Deirdre Wolff, Peter J. Stautberg
Arbitrator(s): Nancy J. Spieczny
Hearing Site: San Diego, CA
|  | $3,524 |
| 12-03551 | 10/25/2013 | Claimant(s): Frances Lamm-Roberts, Frances Lamm-Roberts IRA, Lamm Revocable Trust A
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
| | Expungement |
| 13-00290 | 08/21/2013 | Claimant(s): Celine Derunes, Franck Derunes
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Walton
Arbitrator(s): Jeffrey L. Gaffney
Hearing Site: San Diego, CA
| | $18,488 |
| 12-00807 | 08/01/2013 | Claimant(s): Fred Guenther
Claimant Lawyers(s): D. Daxton White
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Lawrence Alexander Huerta, Otis E. Hackett, Kenneth Andrew Klinko
Hearing Site: San Diego, CA
| | Expungement |
| 11-00240 | 07/31/2013 | Claimant(s): Ben Schwartz, Ben I. Schwartz SEP-IRA, Schwartz Commercial Realty Defined Ben
Claimant Lawyers(s): Thomas D. Mauriello, Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett Wynne
Arbitrator(s): John H. Knight, Sally G. Williams, Thomas L. Marshall
Hearing Site: San Diego, CA
| | Expungement |
| 11-00396 | 07/18/2013 | Claimant(s): John Ray, Cherry Road Investors 9
Claimant Lawyers(s): Kevin J. Deloatch
Respondent(s): MCL Financial Group., Estate of Michael Byrum Upton
Respondent Lawyers(s): Estate of Michael Byrum Upton, Lawrence Singleton
Arbitrator(s): Harvey C. Flodin, James J. Dobbin, Sally G. Williams
Hearing Site: San Diego, CA
| | $850,005 |
| 12-02781 | 07/11/2013 | Claimant(s): Enrique Montano
Claimant Lawyers(s): Enrique Montano
Respondent(s): Cuso Financial Services, L.P.
Respondent Lawyers(s): Maria J. Seedner
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | $0 |
| 12-04337 | 07/10/2013 | Claimant(s): Susan Ritter
Claimant Lawyers(s): Susan Ritter
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | $300 |
| 12-00856 | 07/08/2013 | Claimant(s): Terri Harbison, William Harbison, Harbison Family Trust
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Daniel Laframboise, DL Wealth Managment Group
Respondent Lawyers(s): Brandon S. Reif, Kelsey Hotchkiss
Arbitrator(s): Nancy J. Spieczny, E. Milton Frosburg, Michael D. Briggs
Hearing Site: San Diego, CA
| | Expungement |
| 12-03516 | 06/06/2013 | Claimant(s): Frank Husson
Claimant Lawyers(s): Frank D. Husson
Respondent(s): Brookville Capital Partners
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Michael D. Briggs
Hearing Site: San Diego, CA
| | $13,002 |
