| 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 |
| 12-00856 | 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 |
| 09-00314 | 04/29/2010 | Claimant(s): Michelle Iafrate, Robert Iafrate, RJ and MD Iafrate Family Trust
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Wachovia Securities, Robert Wolter
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Ronald O. Bub, Joseph T. Donnantuoni, Michael D. Briggs
Hearing Site: San Diego, CA
| | $17,534 |
| 08-01288 | 10/08/2009 | Claimant(s): Harwell Family Trust, William P. Harwell Trust
Claimant Lawyers(s): Jan D. Atlas, William P. Harwell
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): Doris V. Knotter, John C. Lees, Michael D. Briggs
Hearing Site: San Diego, CA
| | $0 |
| 08-02173 | 10/02/2009 | Claimant(s): Laurence Rivkin, the IRA Rollver, LNR Family Trust dtd 08/02/1987
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management Inc, The Charles Schwab Corporation
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Judith A. Gust, Steven A. Fox, Michael D. Briggs
Hearing Site: San Diego, CA
| | $327,245 |
| 05-01456 | 08/17/2007 | Claimant(s): Victoria Landseadal
Claimant Lawyers(s): David M. Gilmore
Respondent(s): Victor Tokach, E.S. Hope Financial
Respondent Lawyers(s): Victor Tokach
Arbitrator(s): John C. Lees, Peter D. Brennan, Michael D. Briggs
Hearing Site: San Diego, CA
| | $18,972 |
