| 16-01519 | 02/20/2018 | Claimant(s): Merle Propp, Robert Propp, Merle Carter Family Trust dated March 5,
Claimant Lawyers(s): Kristin M. Cano, Steven L. Stern
Respondent(s): Wells Fargo Advisors, Jackson National Life Distributors LLC
Respondent Lawyers(s): Kevin K. Fitzgerald, Patrick Y. Yoo
Arbitrator(s): Joseph Winter, Martin J. Kotowski, Steven Cohen
Hearing Site: Los Angeles, CA
|  | Expungement |
| 15-02581 | 04/21/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Esperanza Padilla Gomez, John Carroll
Respondent Lawyers(s): Mitchell J. Albert, Sharron Ash
Arbitrator(s): Andrew M. Mintzer, Elliott Zachary Seff, Martin J. Kotowski
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 14-02797 | 10/20/2016 | Claimant(s): Partnervest Advisory Services, Partnervest Financial Group, Partnervest Securities.
Claimant Lawyers(s): Gerard J. Kowalski
Respondent(s): Timothy Mahota
Respondent Lawyers(s): Daren A. Luma
Arbitrator(s): Martin J. Kotowski, Robert Dean McKinley, Robert Weston Armstrong
Hearing Site: Los Angeles, CA
| | |
| 14-01677 | 12/14/2015 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Watt Webb
Respondent Lawyers(s): Eric M. Epstein
Arbitrator(s): Howard A. Emirhanian, Mark S. Priver, Martin J. Kotowski
Hearing Site: Los Angeles, CA
| | |
| 10-05092 | 02/26/2014 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Burns
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Howard A. Emirhanian, Martin J. Kotowski, David Nielsen
Hearing Site: Los Angeles, CA
| | |
| 11-00432 | 01/31/2012 | Claimant(s): Bobby Hayes, Bobby L. Hayes Living Trust
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric A. Herzog
Arbitrator(s): Richard B. Bullock, Martin J. Kotowski, James F. Zotter
Hearing Site: Reno, NV
| | $1,377,000 |
| 09-06290 | 01/06/2012 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Robert Chan
Respondent Lawyers(s): Christine A. Page
Arbitrator(s): David R. Finch, Martin J. Kotowski, James G. Gillivan
Hearing Site: San Francisco, CA
| | |
| 10-05612 | 11/08/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Lance Eaton
Respondent Lawyers(s): Lance Paul Eaton
Arbitrator(s): Martin J. Kotowski
Hearing Site: Los Angeles, CA
| | |
| 10-02380 | 05/16/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Michael Gibson
Respondent Lawyers(s): Matthew B. Baum
Arbitrator(s): Martin J. Kotowski
Hearing Site: San Francisco, CA
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