| 12-01874 | 06/19/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Geschke, Joseph De Falco, Lawrence King
Respondent Lawyers(s): Michael Blumenfeld, Timothy N. Will
Arbitrator(s): Mandel E. Himelstein, Edward H. Davis, Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 12-03679 | 04/08/2014 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Brent Lowe
Respondent Lawyers(s): Brent W. Lowe
Arbitrator(s): Katherine Jane Morris, Mandel E. Himelstein, Alan Joseph Goldstein
Hearing Site: San Diego, CA
| | |
| 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 |
| 10-02139 | 03/19/2013 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Caio Dunson
Respondent Lawyers(s): Tanya Sacks
Arbitrator(s): Louis R. Eglash, Mandel E. Himelstein, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | |
| 12-03457 | 02/11/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Gary Ladrido
Respondent Lawyers(s): Gary Aquino Ladrido
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
| | |
| 12-00102 | 06/08/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Frank Guzman
Respondent Lawyers(s): Frank Jesus Guzman
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
| | |
| 09-03602 | 06/01/2012 | Claimant(s): Janet Garcie, Sharon Grosskopf, Walter Grosskopf, The Janet K. Garcie Revocable Trust, The Walter and Sharon Grosskopf Trust
Claimant Lawyers(s): Janet Garcie, Walter & Sharon Grosskopf
Respondent(s): Audrey Kuwabara, James Nagle, Michael Ning, Arque Capital, Ltd.
Respondent Lawyers(s): Jared R.B. Hutton, Shirley Hayton
Arbitrator(s): Mandel E. Himelstein, Kevin K. Forrester, D. Brad Callen
Hearing Site: San Diego, CA
| | $0 |
| 11-00883 | 03/09/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Short
Respondent Lawyers(s): Scott W. Short
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
| | |
| 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 |
| 10-05198 | 12/22/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Derek Miller
Respondent Lawyers(s): Derek L. Miller
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
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