| 19-01689 | 11/19/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Ryan Ashton
Respondent Lawyers(s): Ryan Manning Ashton
Arbitrator(s): Evan A. Gould
Hearing Site: San Diego, CA
| | |
| 17-03385 | 11/06/2018 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Leandro Palencia
Respondent(s): Mark Riley
Respondent Lawyers(s): Mark Christopher Riley
Arbitrator(s): Evan A. Gould
Hearing Site: San Diego, CA
| | |
| 16-03121 | 05/22/2018 | Claimant(s): Terri Greenamyer Revocable Tr dtd 5/8/92
Claimant Lawyers(s): Vincent D. Slavens
Respondent(s): Wedbush Securities Inc., Karen Brady
Respondent Lawyers(s): John Stenson
Arbitrator(s): Mandel E. Himelstein, Evan A. Gould, Lei-Chala Indee Wilson
Hearing Site: San Diego, CA
|  | Expungement |
| 15-02863 | 08/10/2017 | Claimant(s): Hilltop Securities Inc.
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Andrew Harvey, Brett Levinson, Carla Osbourne, Harvey Frank, Stifel, Nicolaus & Co.., Wyatt Farmer
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Thomas J. Doherty, Evan A. Gould, Ann Elizabeth DiGiorgio
Hearing Site: San Diego, CA
| | |
| 12-04201 | 07/29/2015 | Claimant(s): Doris Rose, Code 3 Industries., Historical Properties., Kay Administration Service., The Rose Family Trust, The Rose Family Trust # 3, The Rose Family Trust #2
Claimant Lawyers(s): Daniel Carlson, G. Mark Brewer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Helen W. Kinnaird, Evan A. Gould, John Scott Carter
Hearing Site: San Diego, CA
| | Expungement |
| 12-03030 | 04/21/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Respondent Lawyers(s): Andrew R. Livingston
Arbitrator(s): Evan A. Gould, John Goodrich, John M Wilson
Hearing Site: San Diego, CA
| | |
| 10-01665 | 11/27/2012 | Claimant(s): Sharda Motwani, Virumal Motwani
Claimant Lawyers(s): Virumal Motwani
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Katherine Jane Morris, Evan A. Gould, Seth Schwartz
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 |
| 09-03839 | 10/18/2011 | Claimant(s): Donald Needham
Claimant Lawyers(s): John H. L'Estrange
Respondent(s): Peter Shusterman
Respondent Lawyers(s): Sam Y. Edgerton
Arbitrator(s): Paul J. Phillips, Thomas Erique DuVoisin, Evan A. Gould
Hearing Site: San Diego, CA
| | $488,860 |
| 09-05958 | 03/07/2011 | Claimant(s): Octavio Torres
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): David Walker, Hartford Life Distributors f/k/a Planco
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Evan A. Gould, Thomas L. Marshall, Mack Reed Christian
Hearing Site: San Diego, CA
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