18-02805 | 11/11/2019 | Claimant(s): The Leonard and Gen Winton Trust Claimant Lawyers(s): Robert G. Knaier Respondent(s): Scottrade Inc., TD Ameritrade. Respondent Lawyers(s): William M. Turner Arbitrator(s): James D. Knotter, Chad Anthony Franks, Charles Chia-Lin Hsieh Hearing Site: San Diego, CA
| | $0 |
15-01927 | 02/04/2019 | Claimant(s): Dolan Family Trust Account Claimant Lawyers(s): Hilton Wiener Respondent(s): Brian Hagerman, John Vaughan Respondent Lawyers(s): Brian Joseph Hagerman, John Joseph Vaughan Arbitrator(s): James D. Knotter, Katherine Jane Morris, Thomas L. Marshall Hearing Site: San Diego, CA
| | Dismissed by Rule 12601(c) |
18-00160 | 09/21/2018 | Claimant(s): Mary Abbott Claimant Lawyers(s): Melissa Abbott Respondent(s): Casey Broach, National Planning Corporation Respondent Lawyers(s): Chad Weaver Arbitrator(s): James D. Knotter Hearing Site: San Diego, CA
| | $14,000 |
17-00784 | 10/24/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Timothy N. Will Respondent(s): Lawrence Palme Respondent Lawyers(s): Lawrence Edward Palme Arbitrator(s): James D. Knotter Hearing Site: San Diego, CA
| | |
15-03485 | 06/05/2017 | Claimant(s): Alicia Mapes, Gordon Mapes, Gordon M. Mapes and Alicia K. Mapes Livi Claimant Lawyers(s): Arthur S. Leider Respondent(s): Ryan Bowers Respondent Lawyers(s): Vincent D. Slavens Arbitrator(s): James D. Knotter, Katherine Jane Morris, Kevin K. Forrester Hearing Site: San Diego, CA
| | $0 |
16-01516 | 12/22/2016 | Claimant(s): Dominic Camerlengo Claimant Lawyers(s): Dominic V. Camerlengo Respondent(s): Adam Cohen, Scottrade Inc. Respondent Lawyers(s): Niels P. Murphy Arbitrator(s): James D. Knotter Hearing Site: San Diego, CA
| | $0 |
13-02523 | 12/01/2016 | Claimant(s): Edward Signaigo Claimant Lawyers(s): Paul W. Thomas Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Respondent Lawyers(s): Gina Shlaferman, Tracy L. Gerber Arbitrator(s): James D. Knotter, M. LaRae Bakerink, Randy R. Maher Hearing Site: San Diego, CA
| | |
16-01225 | 10/18/2016 | Claimant(s): U.S. Bancorp Investments. Claimant Lawyers(s): Babak Yousefzadeh Respondent(s): Enrique Marentes Respondent Lawyers(s): Enrique Abraham Marentes Arbitrator(s): James D. Knotter Hearing Site: San Diego, CA
| | |
14-01241 | 12/03/2015 | Claimant(s): James Price Claimant Lawyers(s): G. Mark Brewer Respondent(s): Morgan Stanley, Philip Curran Respondent Lawyers(s): Gregory B. Simon, Melissa M. Muehlfeld Arbitrator(s): James D. Knotter, Vytas Tarulis, Edward H. Davis Hearing Site: San Diego, CA
| | $0 |
12-04040 | 11/10/2015 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Timothy N. Will Respondent(s): Aric Kent Respondent Lawyers(s): Marie C. Mirch Arbitrator(s): Fred T. Kallet, James D. Knotter, Thomas J. Doherty Hearing Site: San Diego, CA
| | |