| 12-03473 | 01/22/2014 | Claimant(s): Daryl Olson
Claimant Lawyers(s): Matthew J. Faust
Respondent(s): Wells Fargo Advisors, John Mclaughlin
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Sally G. Williams
Hearing Site: San Diego, CA
|  | $35,954 |
| 11-00240 | 07/31/2013 | Claimant(s): Ben Schwartz, Ben I. Schwartz SEP-IRA, Schwartz Commercial Realty Defined Ben
Claimant Lawyers(s): Thomas D. Mauriello, Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett Wynne
Arbitrator(s): John H. Knight, Sally G. Williams, Thomas L. Marshall
Hearing Site: San Diego, CA
| | Expungement |
| 11-00396 | 07/18/2013 | Claimant(s): John Ray, Cherry Road Investors 9
Claimant Lawyers(s): Kevin J. Deloatch
Respondent(s): MCL Financial Group., Estate of Michael Byrum Upton
Respondent Lawyers(s): Estate of Michael Byrum Upton, Lawrence Singleton
Arbitrator(s): Harvey C. Flodin, James J. Dobbin, Sally G. Williams
Hearing Site: San Diego, CA
| | $850,005 |
| 11-03116 | 05/22/2013 | Claimant(s): Michael Stief
Claimant Lawyers(s): Marie Mirch
Respondent(s): Adam Antoniades, Alan Marcum, Catherine Cosgrove, Chapin Giordano, Craig Dindinger, David Rogers, Donna Bartlett, Dwight Badger, Garrett Merrill, Keith Daubenspeck, Michael Marderosian, Advanced Equities., First Allied Securities.
Respondent Lawyers(s): Jeffrey Compton, Marie Mirch, Michael Frederick Marderosian
Arbitrator(s): James O. Johnson, William L. Merkin, Sally G. Williams
Hearing Site: San Diego, CA
| | Expungement |
| 12-01181 | 04/03/2013 | Claimant(s): Nancy Brown, Nancy F. Brown Trust dated 7/24/1989
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Sagepoint Financial., John Venable
Respondent Lawyers(s): Justin Sacca, Thomas Fleming
Arbitrator(s): Jon C. Milliken, Sally G. Williams, Chad Anthony Franks
Hearing Site: San Diego, CA
| | Expungement |
| 11-00939 | 09/06/2012 | Claimant(s): Jay Ash
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors, Merrill Lynch Pierce Fenner & Smith Inc., Ronald Lavo
Respondent Lawyers(s): Spencer Persson
Arbitrator(s): Doris V. Knotter, Sally G. Williams, Deanna Margaret Veitia
Hearing Site: San Diego, CA
| | Expungement |
| 10-03113 | 06/08/2012 | Claimant(s): Oliver Schwarz
Claimant Lawyers(s): Thomas C. Frost
Respondent(s): Citigroup Global Markets., Morgan Stanley, Citigroup Global Markets Holdings.
Respondent Lawyers(s): Scott L. Metzger, Shannon L. McDougald
Arbitrator(s): Barry E. Kersh, Janice L. Sperow, Sally G. Williams
Hearing Site: San Diego, CA
| | |
| 10-02727 | 04/27/2012 | Claimant(s): Damien Moore
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Ronald N. Roth, William L. Erwin, Sally G. Williams
Hearing Site: San Diego, CA
| | Expungement |
| 10-02514 | 08/30/2011 | Claimant(s): Al Trevisan, Trevisan, Olson and Pyle Investments LLC
Claimant Lawyers(s): Al Trevisan
Respondent(s): Daniel Croke
Respondent Lawyers(s): Daniel M. Croke
Arbitrator(s): Michael F. Brown, Mandel E. Himelstein, Sally G. Williams
Hearing Site: San Diego, CA
| | $370,564 |
| 09-03670 | 07/22/2011 | Claimant(s): Robert Banks, Vita Banks, Robert R. Banks IRA, Vita Banks IRA
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James P. Delphey
Arbitrator(s): Jo-Ann C. Little, Judith A. Gust, Sally G. Williams
Hearing Site: San Diego, CA
| | Expungement |
