| 11-02484 | 05/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Holdings
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Sean Barrett
Respondent Lawyers(s): Richard J. Hoag
Arbitrator(s): Lester G. Stiel, Greta Glavis, Alan Joseph Goldstein
Hearing Site: San Diego, CA
| | |
| 11-03976 | 03/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith barney FA Notes
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): Victor Elkind
Respondent Lawyers(s): Robert L. Hill
Arbitrator(s): Lester G. Stiel, Michael D. Briggs, Alan Joseph Goldstein
Hearing Site: San Diego, CA
| | |
| 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 |
| 11-02589 | 05/06/2013 | Claimant(s): Peter Chiang
Claimant Lawyers(s): Peter G. Chiang
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Patrick J. Folan
Arbitrator(s): Robert A. Yates, Lester G. Stiel, Joseph J. Woodford
Hearing Site: San Diego, CA
| | |
| 09-06706 | 04/05/2012 | Claimant(s): Monica Boniadi, Robert Boniadi
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): David Vaughan, Debra Hansen, Donald Froude, Doreen Griffith, Gayle Parsons, Gregg Johnson, Ameriprise Financial Services., James Heeney, James Nagengast, Securities America., Kevin Miller, Kirk Hulett, Lamar Jones, Leon Johnson, Pamela Wertheim, Paul Huerter, Paul Lofties, Steven Mcwhorter, Terrance Dewald, Theresa James, et al
Respondent Lawyers(s): Bruce M. Bettigole, Bryan M. Ward, Burton W. Wiand, Gregory S. Kaufman
Arbitrator(s): Lester G. Stiel, Thomas J. Doherty, Mary Elizabeth Geerdes
Hearing Site: San Diego, CA
| | Expungement |
| 11-00347 | 02/10/2012 | Claimant(s): Araceli Hardt, Heinrich Hardt, Hardt Family Trust dated February 22, 20, Hardt Family Trust dtd June 8, 1978
Claimant Lawyers(s): Brian D. Miller
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David Markun
Arbitrator(s): Lester G. Stiel, Mandel E. Himelstein, Evan A. Gould
Hearing Site: San Diego, CA
| | $1,367,000 |
| 09-05650 | 09/20/2010 | Claimant(s): Martha Campbell, Martha C. Campbell Rollover IRA
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Kevin Williams, Asset Management Strategies, North Global Securities., North Wealth Management Company
Respondent Lawyers(s): A. Kipp Williams, Kevin A. Williams
Arbitrator(s): Lester G. Stiel, John Goodrich, Daniel A. Seiver
Hearing Site: San Diego, CA
| | $641,050 |
| 09-00588 | 02/02/2010 | Claimant(s): Alan Yaghdjian, Mireille Yaghdjian
Claimant Lawyers(s): Kenneth H. Stone
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Lester G. Stiel, Guenter S. Cohn, Steven A. Fox
Hearing Site: San Diego, CA
| | $0 |
| 04-00980 | 02/26/2009 | Claimant(s): Allen Paulson Living Trust
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Lester G. Stiel, Robert W. Vernon, Lisa M. Roth
Hearing Site: San Diego, CA
| | $800,000 |
| 08-00125 | 02/11/2009 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Anne Yannakakis
Respondent(s): Peter Holst
Respondent Lawyers(s): Peter Anthony Holst
Arbitrator(s): Lester G. Stiel, Roger T. Verhage, Mary Elizabeth Geerdes
Hearing Site: San Diego, CA
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