| 17-02029 | 12/04/2018 | Claimant(s): Barbara Freeman
Claimant Lawyers(s): Michael L. Kirby
Respondent(s): J.P. Morgan Securities, Vincent McGuinness
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Nancy J. Spieczny, Randall B Christison, Kevin Joseph Pilon
Hearing Site: San Diego, CA
|  | Expungement |
| 17-03107 | 06/19/2018 | Claimant(s): Daniel Dodgen
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): AXA Advisors
Respondent Lawyers(s): Pamela Rosado
Arbitrator(s): Nancy J. Spieczny
Hearing Site: San Diego, CA
| | |
| 16-02793 | 07/19/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Rebecca L. Gerome
Respondent(s): Rex Ramsey
Respondent Lawyers(s): Christopher M. Carrillo
Arbitrator(s): Nancy J. Spieczny, Annette Gres Shepherd, Joseph L. Hagan
Hearing Site: Los Angeles, CA
| | |
| 15-00551 | 06/17/2016 | Claimant(s): Thomas Garrity
Claimant Lawyers(s): Thomas P. Garrity
Respondent(s): Christopher Vanstelle, Mario Moretto, Steelpoint Securities.
Respondent Lawyers(s): Christopher Van Stelle
Arbitrator(s): Mark R. Lee, Nancy J. Spieczny, James Paul Estes
Hearing Site: San Diego, CA
| | |
| 16-00994 | 05/24/2016 | Claimant(s): Isaac Organization, Joinmax Engineering Consultants, Negotiart of America.
Claimant Lawyers(s): David E. Robbins
Respondent(s): Rocco Guidicipietro
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Patricia Mary Reilly, Nancy J. Spieczny, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | Expungement |
| 14-03309 | 04/22/2016 | Claimant(s): Maged Ebrahim
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Nancy J. Spieczny, Sally G. Williams, Vytas Tarulis
Hearing Site: San Diego, CA
| | $0 |
| 11-01203 | 01/26/2015 | Claimant(s): Jeffrey Rogers
Claimant Lawyers(s): Harvey C. Berger
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Timothy B. Del Castillo, Trish M. Higgins
Arbitrator(s): Herbert Murez, Nancy J. Spieczny, Vytas Tarulis
Hearing Site: San Diego, CA
| | |
| 13-01430 | 12/16/2014 | Claimant(s): Edward Singer, Nancy Singer, Edward S. Singer 1931 Trust dtd 1/02/31
Claimant Lawyers(s): Daniel B. Carlson
Respondent(s): G. Runnels, T.R. Winston & Company
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Nancy J. Spieczny, James J. Dobbin, Gary Patrick Poon
Hearing Site: San Diego, CA
| | Expungement |
| 13-00430 | 06/11/2014 | Claimant(s): Agnes Barrelet, Agnes Barrelet IRA, Agnes Barrelet Trust dated 10/09/2009
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Christopher Taylor, NFP Securities.
Respondent Lawyers(s): Alexis Lu, Brandon S. Reif
Arbitrator(s): Harvey C. Flodin, Nancy J. Spieczny, Michael D. Briggs
Hearing Site: San Diego, CA
| | $1,246,160 |
| 13-01355 | 12/20/2013 | Claimant(s): Nadia Bacon f/k/a Nadi Youssef
Claimant Lawyers(s): Nadia Youssef
Respondent(s): Wells Fargo Advisors Financial Network, Fifth Third Securities.
Respondent Lawyers(s): Deirdre Wolff, Peter J. Stautberg
Arbitrator(s): Nancy J. Spieczny
Hearing Site: San Diego, CA
| | $3,524 |
