| 21-01304 | 02/11/2022 | Claimant(s): Don Salter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Sally G. Williams
Hearing Site: New Orleans, LA
| | |
| 19-02822 | 08/06/2021 | Claimant(s): Constantine Cristo
Claimant Lawyers(s): Constantine Gus Cristo
Respondent(s): Charles Schwab & Co.., Charles Schwab Bank, Charles Schwab Corporation, Charles Schwab Investment Management Inc, Schwab Holdings.
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Robert Rosen, Sally G. Williams, Thomas L. Marshall
Hearing Site: San Diego, CA
|  | $0 |
| 20-01516 | 03/09/2021 | Claimant(s): John Glenn
Claimant Lawyers(s): Zachary T Hayes-Macaluso
Respondent(s): United Planners' Financial Services Of A
Respondent Lawyers(s): David B. Hauer
Arbitrator(s): Sally G. Williams
Hearing Site: San Diego, CA
| | |
| 19-02252 | 04/10/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Eli Moeller
Respondent Lawyers(s): Eli Moeller
Arbitrator(s): Sally G. Williams
Hearing Site: San Diego, CA
| | |
| 17-01935 | 09/27/2018 | Claimant(s): Bob Rogers, Bobby and Michelle Rogers Family Trust
Claimant Lawyers(s): Juan C. Castaneda
Respondent(s): Morgan Stanley, Robert Nelson
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Sally G. Williams, Thomas L. Marshall, Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | $0 |
| 17-02447 | 08/10/2018 | Claimant(s): Ryan Hyslop
Claimant Lawyers(s): Owen Harnett
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Robert F. Saint-Aubin, Sally G. Williams, Kevin L. Wheeler
Hearing Site: San Diego, CA
| | |
| 16-01891 | 09/22/2017 | Claimant(s): Pollard Family Trust, Sierra Bonita Trust
Claimant Lawyers(s): Michael T. McColloch
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven M. Malina
Arbitrator(s): Sally G. Williams, Randall B Christison, William Richard Espino
Hearing Site: San Diego, CA
| | $0 |
| 15-01863 | 09/08/2017 | Claimant(s): Hazel Kitzman, Estate of Hazel L. Kitzman, Separate Property Trust dated April 28,
Claimant Lawyers(s): Robert M. Caietti
Respondent(s): John Folsom, RBC Capital Markets LLC, Matthew Sweeney, RBC Wealth Management
Respondent Lawyers(s): H. Mark Mersel, Kamao Shaw, W. Perry Brandt
Arbitrator(s): Deanna J. Johnson, Sally G. Williams, Thomas Mitchell Rhodes
Hearing Site: San Diego, CA
| | $212,000 |
| 14-03425 | 06/17/2016 | Claimant(s): Ramona Hahn, Ramona Hahn IRA, Ramona Hahn Roth IRA, Ramona Hahn Family Trust DTD 08/04/2003
Claimant Lawyers(s): Leslie Schwaebe Akins
Respondent(s): LPL Financial LLC, John Sherwin, Thomas Hokr, Edward Jones, Investors Capital Corp.
Respondent Lawyers(s): Bentley P. Stansbury, Jon Kaplon, Michael A. Nagy
Arbitrator(s): Guenter S. Cohn, Sally G. Williams, Vytas Tarulis
Hearing Site: San Diego, CA
| | Expungement |
| 14-03309 | 04/22/2016 | Claimant(s): Maged Ebrahim
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Nancy J. Spieczny, Sally G. Williams, Vytas Tarulis
Hearing Site: San Diego, CA
| | $0 |
