| 18-03213 | 04/23/2019 | Claimant(s): Nisha Varma
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 18-00736 | 12/07/2018 | Claimant(s): John Paffendorf
Claimant Lawyers(s): Thomas C. Frost
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 18-02148 | 12/04/2018 | Claimant(s): Breanne Polonia
Claimant Lawyers(s): Cheryl S. Chang
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 18-00142 | 10/31/2018 | Claimant(s): Nancy Undem
Claimant Lawyers(s): Jules L. Federman
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): E. Milton Frosburg, Kevin K. Forrester, Shawn Michael Spaulding
Hearing Site: San Diego, CA
|  | Dismissed by Rule 12206 |
| 18-01040 | 08/30/2018 | Claimant(s): Timothy Cusick
Claimant Lawyers(s): William P. Keith
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Kevin K. Forrester, Brian William Heublein, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | Expungement |
| 15-03485 | 06/05/2017 | Claimant(s): Alicia Mapes, Gordon Mapes, Gordon M. Mapes and Alicia K. Mapes Livi
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Ryan Bowers
Respondent Lawyers(s): Vincent D. Slavens
Arbitrator(s): James D. Knotter, Katherine Jane Morris, Kevin K. Forrester
Hearing Site: San Diego, CA
| | $0 |
| 15-00566 | 11/10/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Judy Louie
Respondent(s): Timothy Barnard
Respondent Lawyers(s): Timothy Scott Barnard
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 11-04783 | 09/05/2014 | Claimant(s): Charles Jia, Laura Zhou
Claimant Lawyers(s): Steven M. Green
Respondent(s): Anthony Sica, Gary Saccaro, Joseph Alagna, Michael Kaplan, Stephan Stein, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor, Michael Kaplan
Arbitrator(s): Kevin K. Forrester, Mitchell Lee Lathrop, Traci Lynn Sherrod
Hearing Site: San Diego, CA
| | Expungement |
| 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
| | |
| 11-04468 | 05/16/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Michael Malvin
Respondent Lawyers(s): Michael Adam Malvin
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
