| 11-04281 | 08/28/2012 | Claimant(s): Melody Thayer
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
|  | $95,047 |
| 09-03602 | 06/01/2012 | Claimant(s): Janet Garcie, Sharon Grosskopf, Walter Grosskopf, The Janet K. Garcie Revocable Trust, The Walter and Sharon Grosskopf Trust
Claimant Lawyers(s): Janet Garcie, Walter & Sharon Grosskopf
Respondent(s): Audrey Kuwabara, James Nagle, Michael Ning, Arque Capital, Ltd.
Respondent Lawyers(s): Jared R.B. Hutton, Shirley Hayton
Arbitrator(s): Mandel E. Himelstein, Kevin K. Forrester, D. Brad Callen
Hearing Site: San Diego, CA
| | $0 |
| 10-02006 | 08/12/2011 | Claimant(s): Arthur Ball
Claimant Lawyers(s): Steven M. Green
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Terry D. Anderson, Kevin K. Forrester, Rose Marie A. Boucher
Hearing Site: San Diego, CA
| | Expungement |
| 11-00646 | 07/06/2011 | Claimant(s): Dr. Henry & Patrice Kankowski
Claimant Lawyers(s): Matthew R. Miller
Respondent(s): Jonathon Webster, Morgan Stanley & Co.
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): Guenter S. Cohn, Kevin K. Forrester, Nils Stephen Sandberg
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 11-00647 | 07/06/2011 | Claimant(s): Dr. James & Nada Eischen
Claimant Lawyers(s): Matthew R. Miller
Respondent(s): Jonathon Webster, Morgan Stanley & Co.
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): Guenter S. Cohn, Kevin K. Forrester, Nils Stephen Sandberg
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 09-01560 | 08/20/2010 | Claimant(s): Peter Chiang
Claimant Lawyers(s): Neda Ataie
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer Lynn Nutter
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 07-00999 | 01/29/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Judy Louie
Respondent(s): Stephen Whitman
Respondent Lawyers(s): Neda Ataie
Arbitrator(s): Harvey C. Flodin, Joseph T. Donnantuoni, Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 08-02082 | 07/14/2009 | Claimant(s): Everett Ross, Imogene Ross, Everett C & Imogene G Ross T U/A DTD 10/, Trustee
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Nancy J. Spieczny, James H. Fehlberg, Kevin K. Forrester
Hearing Site: San Diego, CA
| | $173,798 |
| 08-02945 | 03/12/2009 | Claimant(s): Michael Casey
Claimant Lawyers(s): Michael W. Casey
Respondent(s): Kraig Pivnick, Michael Nocella, Wunderlich Securities.
Respondent Lawyers(s): Kraig Barrence Pivnick, Lori H. Patterson, Stephen B. Wexler
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | $0 |
