| 20-01514 | 12/03/2020 | Claimant(s): Sandeep Varma
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Randy R. Maher
Hearing Site: San Diego, CA
| | |
| 17-00857 | 06/25/2018 | Claimant(s): Kris Dielman, Sandy Dielman
Claimant Lawyers(s): Robert Traylor
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Gavin E. Gruber
Arbitrator(s): Mark R. Lee, Randy R. Maher, Deanna Margaret Veitia
Hearing Site: San Diego, CA
|  | $1,091,580 |
| 16-00543 | 12/12/2016 | Claimant(s): John Toman
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Brett W. Everhart, Doris V. Knotter, Randy R. Maher
Hearing Site: San Diego, CA
| | |
| 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
| | |
| 15-02144 | 05/26/2016 | Claimant(s): Marc Seward
Claimant Lawyers(s): Vincent D. Slavens
Respondent(s): Securities America.
Respondent Lawyers(s): Sabryne Coleman
Arbitrator(s): Robert A. Lakosil, George L. Tindall, Randy R. Maher
Hearing Site: San Diego, CA
| | |
| 14-00864 | 11/17/2015 | Claimant(s): Natalija Josimovich
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Erinn Ford, Philip Pizelo, The Estate of Robert A. Cannon
Respondent Lawyers(s): Diane M. Meyers, Erinn J. Ford, Philip Anthony Pizelo
Arbitrator(s): Greta Glavis, Randy R. Maher, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | Expungement |
| 14-01695 | 08/25/2015 | Claimant(s): Catherine Block
Claimant Lawyers(s): Thomas Frost
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Wendy S. Menghini
Arbitrator(s): Mark R. Lee, Thomas J. Doherty, Randy R. Maher
Hearing Site: San Diego, CA
| | $0 |
| 13-00579 | 03/04/2014 | Claimant(s): Doreen Blank, Edward Blank, Estate of Della A.B. Baker
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): James Glover, Signator Investors.
Respondent Lawyers(s): James Robert Glover, Paul F. Enzinna
Arbitrator(s): Jeffrey L. Gaffney, Randy R. Maher, Daniel R. Saling
Hearing Site: San Diego, CA
| | $1,589,150 |
| 13-00365 | 10/10/2013 | Claimant(s): Jason Coles
Claimant Lawyers(s): Christine A. Page
Respondent(s): Wells Fargo Investments, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea, Thomas F. Kopshever
Arbitrator(s): Thomas J. Doherty, Randy R. Maher, Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 12-04301 | 08/20/2013 | Claimant(s): Franklin Miller
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Doris V. Knotter, Terry D. Anderson, Randy R. Maher
Hearing Site: San Diego, CA
| | |
