| 19-00555 | 02/20/2024 | Claimant(s): Janice Kevari
Claimant Lawyers(s): Maryann P Gallagher
Respondent(s): Scottrade Inc., TD Ameritrade.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Janice L. Sperow, Kevin K. Forrester, Lisa Miller
Hearing Site: San Diego, CA
| | |
| 19-03520 | 05/04/2022 | Claimant(s): Abbas Azimi
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Herbert Liberman, Kevin K. Forrester, Randall B Christison
Hearing Site: San Diego, CA
|  | Expungement |
| 21-01729 | 12/17/2021 | Claimant(s): Benjamin Lau
Claimant Lawyers(s): Frances Menzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Travis L. Salmon
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 20-02233 | 03/26/2021 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Eric M Steinert
Respondent(s): Katie Blando
Respondent Lawyers(s): Katie R Blando
Arbitrator(s): Gunnar Thowsen, Kevin K. Forrester, Randall B Christison
Hearing Site: San Diego, CA
| | |
| 20-01441 | 12/15/2020 | Claimant(s): J. Coghlan, Joshua Willard
Claimant Lawyers(s): Chad E. Weaver
Respondent(s): Securities America.
Respondent Lawyers(s): Tyler Schubauer
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 20-00798 | 09/10/2020 | Claimant(s): SAM BHUSHAN
Claimant Lawyers(s): Frances Menzer
Respondent(s): Burch & Company
Respondent Lawyers(s): Anthony J. Durone
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 19-00293 | 10/22/2019 | Claimant(s): Stephen Seewer
Claimant Lawyers(s): Michael Bessette
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 17-01724 | 08/15/2019 | Claimant(s): Charles Lautz, Francisco Malfavon
Claimant Lawyers(s): George Miller
Respondent(s): Snowden Account Services LLC, Snowden Capital Advisors LLC
Respondent Lawyers(s): E. David Krule
Arbitrator(s): George Richard Najjar, Kevin K. Forrester, Gene S. Evenskaas
Hearing Site: San Diego, CA
| | |
| 18-03666 | 07/05/2019 | Claimant(s): Ken Morris
Claimant Lawyers(s): Patrick R Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 18-03214 | 05/06/2019 | Claimant(s): Peter Shusterman
Claimant Lawyers(s): Frances Menzer
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Bradley Fishman
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
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